Summary of Services
Comprehensive Investment and Retirement Planning Services
- Pre- and post-retirement planning
- Customized asset management (through LPL Financial)
- Assistance in defining investment objectives and risk tolerances
- Budgeting and cash flow analysis
- Personal net worth review and update
- Consultations to help make 401(k) choices and asset-allocation decisions1
- Planning for lump-sum and periodic distributions
- Tax-efficient investing strategies2
- Client portfolio re-balancing
- In-depth quarterly performance analysis and periodic reviews
- Economic and market based research
- Online access to account information
- Coordination of services with other professional advisors
- Aggregate reporting on assets held at other institutions
- Traditional commission-based and all-inclusive quarterly fee options based on the size of the account, which covers portfolio administration, commission costs and custody services3
Corporate 401(k) Plans
- Design assistance
- Implementation support
- Review
- Investment choice overview
- Fiduciary education
- Due diligence support
- Plan sponsor and participant education activities
1 Asset allocation cannot eliminate the risk of fluctuating prices and uncertain returns.
2 1406 Financial does not provide legal or tax advice, but we will be happy to work with your chosen legal and tax advisors to help you pursue your financial goals.
3 Independent money management may not be suitable for all clients.