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Prudent Fiduciary Process

Fiduciary and regulatory risk can expose you to personal liability, as well as threaten your balance sheet, your retirement plan, and the future of your business.

FiduciaryFirst works in concert with your retirement plan committee to deliver a unique and innovative fiduciary process designed expressly to mitigate liability while building a plan that benefits your employees and your business.  Our Prudent Fiduciary ProcessSM encompasses all major pension laws, trust statutes, and industry best practices, and provides an efficient and formalized methodology for fiduciary governance and due diligence.

By encompassing all major pension laws, trust statutes, and industry best practices, FiduciaryFirst’s Prudent Fiduciary ProcessSM provides an efficient and formalized fiduciary risk management and due diligence process. Additional services include executive benefits, plan conversion, merger & acquisition assistance, compliance assistance, and coordination with other third-party consultants.

We contractually serve as your ERISA 3(21) co-fiduciary or ERISA 3(38) primary fiduciary to mitigate risk while providing financial strength and professional liability coverage.

We help navigate and implement today’s complex safe harbor regulations to reduce personal and corporate liability, and we continuously review your plan documents and policy statements to help you ensure compliance.

We incorporate our proprietary behavioral finance strategies (The Participant EffectSM) and industry best practices to create a plan that addresses your organization’s unique needs, challenges, and preferences.

We leverage the knowledge and insights of nearly 40 analysts, our unique 12-point scoring system, and a proactive investment strategy to provide an optimal solution that features no conflicts of interest, consistence with the required level of prudence, and highly innovative Investment Policy Statements.

We use participant-focused education tools in conjunction with The Participant EffectSM to guide your employees toward better, more informed decisions that help them pursue their retirement goals.

We help manage your personal and corporate fiduciary risk using a process that enables you to maintain compliant documentation stored in a secure Client LockBox with encrypted access to our servers. ??

We work directly with recordkeeping and investment manager vendors on your behalf and provide unbiased guidance on operational and cost efficiency, plan design, and compliance. ??

We review, benchmark, and present to your committee all plan fees and revenue and we negotiate plan costs on your committee’s behalf.

We help you document, maintain, and continuously review all applicable bonding and fiduciary insurance coverage.


Contact Details

1060 Maitland Center Commons

Suite 360

Maitland, FL 32751

Phone: 866-625-4611

Fax: 407-740-6113



Retirement Plan Consulting Program and other advisory services offered through LPL Financial, a registered investment advisor.

This information was developed as a general guide to educate plan sponsors, but is not intended as authoritative guidance or tax or legal advice.  Each plan has unique requirements, and you should consult your attorney or tax advisor for guidance on your specific situation.  In no way does advisor assure that, by using the information provided, plan sponsor will be in compliance with ERISA regulations.


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