There are three key factors that we believe will determine the success and effectiveness of your retirement plan benefit:
Your employees are gaining wealth and on track to retire financially secure
Your plan is in compliance and meets all DOL regulatory requirements
Your plan runs efficiently, cost effectively, and with a high level of participant engagement
To ensure that your plan remains in compliance, we monitor information and attend conferences that focus on plan providers, Department of Labor issues, ERISA regulations, and IRS tax code. With the combination of extensive experience working with retirement plan providers along with being a Registered Investment Advisor, we have a unique dual skill set of assisting your administration team in managing the retirement plan along with providing investment guidance to assist in the selection and monitoring of investment options.
The following are key services we provide to your administrative team:
Monitor and console your team with regulatory or legislative changes that may affect your plans.
Prepare and review our quarterly “Firm Report” that analyzes each investment option based on a 9 point criterion illustrated in color charts with an easy to evaluate score card.
Assist with determining recommended amendments to your plan documents.
Implement & Document
Assist with the preparation and monitoring of the plan’s Investment Policy Statement (IPS). Fiduciary review of the plan documented with meeting minutes.
For your employees
A key differentiator of the Up Capital Management team is the combination of regulatory understanding with the skills as an investment advisory team. Mr. Bayer, CEO of Up Capital Management has extensive experience managing investment portfolios and assisting participants in their responsibility to manage their accounts. Mr. Bayer authors Managing to Retire, a quarterly newsletter, and The Bi-Weekly Update along with offering your participants suggested model allocations specific to the plan updated quarterly.
The following are key education and participant investment guidance services we provide:
Availability to meet or discuss individually with participants.
Onsite employee education meetings are specifically designed for your participants.
Weekly Market Update which is authored by the Up Capital team, not some corporate figurehead, which includes reviews of economic events and proposed investment strategies.
Review & explanation of investments and quarterly updates of proposed account allocations for Conservative, Moderate, and Growth oriented participants.
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