Insights & Observations

Stay Informed

You’re busy creating your own success; to help you stay informed, we share our insights and observations regularly through our blog. Whether you want to secure your personal wealth, improve the lives of your employees or elevate your impact in your community, we invite you to read the topics that matter most to you.

  • The rationale for investment manager changes

    Sometimes we have to change the investments we hold in our clients’ portfolios. We’ve talked about rebalancing and tax loss harvesting as ways to keep portfolios’ allocation in check and lower tax bills, but what happens when a specific investment manager of a mutual fund or other vehicles needs a change? How do we decide… [Read More]

    Retirement Plan audit ERISA

    How to pick an auditor for your company’s retirement plan

    Audit season is in full swing for retirement plans, and if your company has a “large plan” (defined as more than 100 participants) you are required to undergo an annual audit by a CPA. This requirement kicks in when your start-of-year participant count exceeds 120 for the first time. If your company sponsors a plan… [Read More]

    The 3 flavors of fiduciaries for retirement plans

    After the rise and fall of the Department of Labor’s “fiduciary rule,” followed by the Securities and Exchange Commission’s recent release of the Regulation Best Interest rule, many retirement plan sponsors are now familiar with the term “fiduciary.”  A fiduciary duty is the highest standard of care under the law.  Fiduciaries to an ERISA-qualified plan are… [Read More]

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