Due Diligence & Investment Monitoring

 

  • The Investment Policy Statement is intended to assist the Plan’s fiduciaries by establishing guidelines for making investment-related decisions in a prudent manner. It outlines the underlying philosophies and processes for the selection, periodic monitoring and evaluation of the investment options offered by the Plan.  Our ongoing and timely due diligence is critical to proper maintenance and management of the plan, this includes quantitative and qualitative evaluations.  

 

 

Fiduciary Services 3(21) and 3(38)

 

  • We consult with retirement plans to help them design the fund menu.  We serve as the investment fiduciary and can assist with the process as a 3(21) or 3(38) fiduciary.

 

Fiduciary & Investment Governance

3(21) Co-Fiduciary
  • Supports with drafting the Investment Policy Statement (IPS)

  • Supports with implementing a retirement plan committee charter

  • Recommends the investment fund menu

  • Regularly provides ongoing investment reporting and monitoring

  • Recommends investment changes based on IPS methodology

  • Discusses investment strategies 

  • Provides meeting minutes, documentation, and digital fiduciary briefcase

 

3(38) Investment
Manager Fiduciary
  • Supports with drafting and maintaining the Investment Policy Statement (IPS)

  • Supports with implementing a retirement plan committee charter

  • Selects the investment fund menu

  • Regularly provides ongoing investment monitoring

  • Reports and makes investment changes consistent with IPS

  • Determines investment mapping strategies

  • Provides meeting minutes, documentation, and digital fiduciary briefcase

 

Retirement Plan Committee

 

  • Guidance regarding plans objectives, helps to craft the committee charter. We provided best governance practices and facilitate retirement plan committee meetings and meeting minutes.

Investment Menu Design

 

  • Determining the mix of investments for your plan is part of our process.  A strong, diversified array of investments will provide strategies for each of your employees portfolios.

900 East 96th Street, Suite 325

Indianapolis, IN 46240

Contact Us Directly:

Phone: (317) 844-3256

Email: info@csiadvisoryservices.com

LinkedIn Logo.png

Have a Question?

BrokerCheck_logo_big.png

Securities are offered through LPL Financial.  Member FINRA/SIPC.  Investment advisory services offered through CSi Advisory Services a registered investment advisor. CSi Advisory Services and LPL Financial are separate non-affiliated entities. 

The LPL Financial Registered Representatives associated with this site may only discuss and/or transact securities business with residents of the following states: IN, IL, DE, OH, KY, FL, NJ, PA, MD. ME. VA, NC, CO, MS, IA, LA, WY, OR, AL, MO, GA, CA, TN.