Broker Check

Plan Sponsors

Our Commitment to Plan Sponsors


  • Conduct Plan Reviews – Plans are reviewed on an ongoing basis to keep abreast of changes in compliance and other regulatory mandates, identify opportunities to minimize costs and analyze investment options.
  • Provide Low-Cost, Strong Investments – We offer plan sponsors investment options to create great low cost 401(k) plans. Because the economy is constantly changing we want to be vigilant that funds that have been recommended change with it. Portfolios are reviewed on a quarterly basis and changes recommended as indicated.
  • Reduce Fiduciary Risks – Managing the entire process, we hold enrollment meetings (including annual ERISA-required enrollment meetings) and employee education meetings. 401k Generation also permits complete disclosure and fee transparency to sponsors and participants – an important feature, as the 2006 Pension Protection Act (PPA) places renewed emphasis on these areas within the defined contribution market.
  • Support Conversion – Start-to-finish assistance converting your existing 401(k) plan.
  • Increase Employee Participation – We help your employees understand the benefits of a 401(k) plan, offer ongoing enrollment and informational meetings, and provide one-on-one assistance to all employees.
  • Monitor & Evaluate New/Existing Funds – An in-depth review of available investments and the funds comprising your portfolios is completed quarterly. Changes to the funds are made as needed.
  • Communicate Fund Updates – Changes to portfolios are communicated on an ongoing basis. We also explain how to make changes to your investments, and provide one-on-one assistance to employees who are incorporating these changes into their own portfolios.
  • Collaborate to Provide Focused Record-keeping, Administration and Compliance for Your Plan – 401k Generation works with your plan administrator to ensure your plan remains compliant, assists with ongoing administration, and the accuracy of your records.
  • Provide Industry/ Legislative Updates – You will receive monthly newsletters, as well as phone calls, and emails as warranted to keep you abreast of changes in the 401(k) industry and its regulation. When needed, we will explain any action required by you.
  • Help with Retirement Strategies for Key Executives – through our strategic partnerships and alliances, we are able to offer wealth management, succession planning and other retirement strategies of particular interest to key executives.
  • Make It Easy to Do Business With Us – Steps you take now will help shape how you’ll live for years to come. Fortunately, 401k Generation makes it easier for you to take those steps with confidence.Provide A Plan Concierge – One call to our Plan Concierge will get the process started, help you get answers to your questions, schedule face-to-face meetings and convert your existing plans.

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