Lanier Financial Group is a qualified independent ERISA Section 3(38) Investment Manager.  This allows our clients to delegate the investment selection/monitoring/replacing  functions of their 401(k)fiduciary duties, along with passing the legal risk associated with this process onto Lanier Financial Group.

We strive to reduce overall costs of the plan to both the sponsor and participants, eliminate the fiduciary duty on the investment selection process, and uncover additional areas for improvement that will reduce overall risk and/or costs to the sponsor and participants. 

A list of our services provided to 401(k) plans include but are not limited to:

  • investment manager duties
  • 404(c) compliance review and implementation
  • fee disclosure documentation assistance
  • comprehensive plan document and policy review and implementation
  • due diligence review of alternative custodians, TPAs, and record keepers