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 comprehensive and innovative fiduciary process designed expressly to help manage 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 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 help manage risk while providing financial strength and professional liability coverage.

We help navigate and implement today’s complex safe harbor regulations to address 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 helps to minimize 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 objective guidance on operational and cost efficiency, plan design assistance and compliance support.

We review, benchmark, and present to your committee all plan fees and revenue and we assist in the negotiations of plan costs.

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


Client Lockbox

Contact Details

1060 Maitland Center Commons

Suite 360

Maitland, FL 32751

Phone: 866-625-4611

Fax: 407-740-6113