401(k) Received Services

Our process and features strive to bring value to your company and employees.

Your company has the potential to gain value through:

Workload Reduction
Trackable Education Results
TPA Liaison
Plan Transaction Review
Investment Co-Fiduciary Representation
Online Compliance Record Keeping Support

Provider Liaison
Payroll Deposit Review
Increased Employee Morale
Transparent Plan Fees
Plan Action Documentation
Monitor Suspicious Activity

INVESTMENT DUE DILIGENCE AND OVERSIGHT— TOOL SUITE CAPABILITIES

The LPL Retirement Partners Tool Suite has been certified by the Centre for Fiduciary Excellence (CEFEX) for Investment Support Services. CEFEX is an independent global assessment and certification organization that works closely with investment fiduciaries and industry experts to provide comprehensive assessment programs that improve risk management for institutional and retail investors. CEFEX certification helps determine the trustworthiness of investment fiduciaries.

Fiduciary Monitoring System
- Efficiently monitor your investment lineup with an automated tool that notifies you of changes in performance or other factors using easy-to-understand filters and “pass/ fail” criteria.
- Receive quarterly investment reports using LPL’s proprietary 12-factor methodology.
- Document your analysis and any actions you take arising from your review.
- Schedule formal investment reviews based on your desired timetable.
Industry Reports
Compare how your plan stacks up to industry averages, with detailed reports covering the annual PLANSPONSOR Defined Contribution Study of more than 5,000 plan sponsors.

Assess apples-to-apples plan design, participation rates, employer match, fees and more.
Fiduciary Vault
Store all plan-related forms and documents in a centralized location.
Pension Resource Institute
Access accurate and up-to-date fiduciary education and governance resources.

Stay abreast of regulatory developments, navigate your fiduciary responsibilities, and develop prudent fiduciary processes.
Fund Lineup Comparison
Rate up to five service provider portfolios for fees and performance, demonstrating relative strengths and weaknesses of fund options.

Retirement Plan Health Check
- Receive professional reporting on your plan’s health and value, using key plan attributes in comparison to a relevant peer group. Attributes may include age- based group deferral rates, average account balances, portfolio diversification by age group and in total, aggregate plan performance, and more.
Investment Policy Statement
- Address your fiduciary responsibility to specify in writing the plan’s goals, priorities, and investment preferences.
- Document the procedures by which the plan will make changes to its investment lineup, services, and policies.
RFP Director
- Benchmark or reprice your current plan fees and services to help make sure you’re receiving the best value.
- Compare services and capabilities of multiple recordkeepers and providers, side-by-side and all on one page, to make informed and objective service-level decisions for your plans.
Fee Comparison and Analysis Evaluation
- Review total plan fees, including those for investment management, recordkeeping, and advisory/consulting services, as well as plan benefits and features.

Stay in the Know

Newsletter Sign Up

Contact Us

Tel: 559-924-0304
Fax: 559-924-0314

E-mail: team@rwmfinancialgroup.com

Address: 406 B. Street, Lemoore, CA 93245

Firm Disclosures

ADV Part 1

ADV Part 2

FINRA’s BrokerCheck®.

Brahm Rossiter is a Registered Principal with, and securities are offered through, LPL Financial. Member FINRA / SIPC.

The Financial Professionals associated with LPL Financial may discuss and/or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state. CA Insurance Lic. #0C98552

The SmartVestor program is a directory of investment professionals. Neither Dave Ramsey nor SmartVestor are affiliates of RWM Financial Group or LPL Financial.