Our Commitment to You

As part of our vision, we aim to provide you with industry-leading retirement strategies, which encompass the following.

  • Needs assessment
  • Benchmarking
  • Provider search
  • Investment Policy Statement
  • Investment selection
  • 3(21)/3(38) Fiduciary services
  • Risk management
  • Investment fee evaluation
  • Issue resolution
  • Fiduciary audit file
  • Meeting minutes
  • Plan M&A assistance
  • Enrollment meetings and participant education
  • Plan design
  • Ongoing employee education

Working with You

The Caves Wiese Retirement Group utilizes a consultative process to improve a plan’s efficiency and performance, which typically encompass pricing, transparency, plan design, and investment lineup. We focus on “retirement readiness” for our clients’ employees, along with investment management, plan management, and plan evaluation for the Plan Sponsors. The minimum objective goal is a reduction in fiduciary liability with the ultimate goal of maximizing participant outcomes and ensuring the plan is truly seen as a “benefit” by your employees.

To that end, we employ a number of analytical tools to review investment performance and fees. We strive to reduce a Plan Sponsor’s fiduciary risk by acting as a 3(21) or 3(38) Fiduciary, and we assist our clients in matters associated with issue resolution, while simultaneously overseeing and coordinating provider searches (RFP process).

Since employee participation is essential to the health of the overall plan, we actively engage employees in a number of communication strategies to keep their level of interest high. For example, we hold enrollment meetings and ongoing participant education meetings, and participants have one on one access to our team of professionals who can provide a “hightouch” experience as it pertains to either their investment or administrative plan needs.

The Importance of Working with an Institutional Plan Fiduciary Consultant

We know that today’s plan sponsors are being confronted with unprecedented change and complexity. That’s why it is critical to choose a financial advisor who has experience in helping plan sponsors achieve their unique goals and objectives. With that in mind, our firm recognizes those individuals who have earned the Institutional Plan Fiduciary Consultant title, held by only a select few professionals at Wells Fargo Advisors nationwide.

This is bestowed upon financial advisors who have dedicated their practices to helping corporate and institutional clients manage all aspects of their retirement plans. The services we provide as Institutional Plan Fiduciary Consultants include assistance with plan evaluation and benchmarking, vendor selection, investment review, and participant communications on topics crucial to retirement security, which can lead to improved participant outcomes.

Rest assured, as Institutional Plan Fiduciary Consultants, we have bene carefully selected and trained according to some of the highest standards in the industry. The advisors of the Caves Wiese Retirement Group hold designations in the following areas: Certified 401(k) Professional (C(k)P®), Accredited Investment Fiduciary (AIF®), Chartered Retirement Plans Specialist (CRPS®), CERTIFIED FINANCIAL PLANNER™ (CFP®) professional, and Chartered Retirement Planning CounselorSM (CRPC®).