Qualified Plan Consulting

Our Mission is to assist your employees in replacing 80% of their pre-retirement income as a fiduciary on your retirement plan and assist you in fulfilling your fiduciary duties.

Plan Sponsor Services

  • Review Plan Governance Structure
  • Review 404(c) Protection
  • Fiduciary Training
  • Analyze Plan Design Options
  • Meet with Plan Committee

Plan Investment Services

  • Assess Plan’s Investment Objectives
  • Design Overall Investment Structure
  • Review QDIA option
  • Review Company Stock option
  • Implement Investment Structure
  • Build Model Portfolios
  • Provide & Review Performance Reporting
  • Search for new Investment Manager

Vendor Management

  • Monitor Service Provider
  • Ensure All Fees are Disclosed
  • Benchmark Fees and Value for Reasonableness
  • Review Use of ERISA Spending Accounts
  • Generate and Evaluate Service Provider RFP
  • Generate & Evaluate Service Provider RFI
  • Support Contract Negotiation
  • Support Service Provider Transition

Fiduciary Status

  • Acts as a Fiduciary under 1940 Act (RIA)
  • ERISA 3(21) Fiduciary (Limited Scope)
  • ERISA 3(38) Fiduciary (Discretionary)

Want to learn More?

Download our complimentary Castle Rock Catalog to learn more about our Qualified Plan Services. 

Participation Education Services

  • Review of Education Strategy
  • Provide Group Meetings
  • Provide One-On-One Meetings
  • Provide Participant Phone/Email Support
  • Review progress against goals
  • Rendering of Participant Advice




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About Us

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Castle Rock Investment Company

Our Office

115 Wilcox Street, Suite #220
Castle Rock, CO 80104

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