Unparalleled Fiduciary Audit Package for Employer Retirement Plans

At Flautt Hare Davis, we offer plan sponsor fiduciaries (known as Investment Stewards) competitive strategies that seek to provide extensive protection. The offering’s strategies seek to provide fiducia or strategies designed with the goal of fiduciary safety through the effective use of investment committee training, plan support, provider monitoring, and electronic document storage.

Fiduciary Oversight for Plan Sponsors

Investment stewards wear many professional hats. While they may spend the least amount of their working hours on retirement plan issues, the fiduciary role they play carries the most significant amount of personal risk in the corporate arena.  Finance and human resources executives often lament the lack of time and tools they have to fulfill their fiduciary duties with a high level of assurance and protection. This uncertainty causes concern about their personal liability as a fiduciary.

To address this problem, Flautt Hare Davis offers a fiduciary oversight program that seeks to deliver protection and help ensure excellence or excellence or designed with the goal to provide protection and help ensure excellence in plan management through independent support and monitoring. We offer the fiduciary oversight program to our member advisors' plan sponsor clients.

Under this program, our clients are able to address these fiduciary functions:

  1. Demonstrate prudence through a document trail
  2. Understand the key factors around investment management decision making
  3. Adhere to the plan document and the Committees' investment strategies
  4. Avoid conflicts of interest
  5. Monitor service providers according to the new global benchmarks of fiduciary excellence

Why Plan Sponsors Use Our Fiduciary Oversight Program:

Easy to Use

Fiduciary functions are supported through a written co-fiduciary arrangement. With our program you can potentially save time, reduce personal risk, and gain access to critical fiduciary tools.

Document Decisions

Managed within a protected fiduciary document solution, investment committees can demonstrate ERISA's prudence requirements through a trail of informed decisions. With a point and click, fiduciaries can evidence their investment rationale and map key decisions directly to the plan's guiding documents.

Continuity of Conduct

We help ensure a high level of continuity in the event of investment committee turnover. Our fiduciary oversight program seeks to preserve the integrity of past decisions and provide effective succession for future fiduciary governance.

Clarify Roles and Responsibilities

We help investment committees align internal responsibilities and benchmark the services of operational platform providers such as administrators, record keepers, custodians, and investment managers.

Securities and Retirement Plan Consulting Program advisory services offered through LPL Financial, a Registered Investment Advisor, member FINRA/SIPC. Other advisory services offered through Independent Financial Partners (IFP), a Registered Investment Advisor. Flautt Hare Davis LLC and IFP are separate entities from LPL Financial.

750 Old Hickory Blvd., Suite 1-115, Brentwood, TN 37027 Phone: (615) 661-8828 Fax: (615) 297-7806 Email: jim.davis@fhdfinancial.com

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