specialized guidance for institutional clients

Institutional retirement plans, foundations and nonprofits rely on us for insightful financial advice. We are ready to assist them with strategic planning, in collaboration with their staff and outside advisors.

Retirement plans

We can help you establish, manage and run the retirement plan that is right for you and your company.

A well-constructed corporate retirement plan is an ideal way for businesses to attract and retain quality employees, as well as help owners plan and save for their own futures. We can help you establish, manage and run the plan that is right for you and your company. We’ll also host lunch-and-learns for your employees and work with them to put together model portfolios for use in their 401(k)s.

We can help with a wide range of company retirement plans:

  • 401(k) plans
  • 401(k) profit sharing plans
  • Safe-harbor 401(k) plans
  • Owner only/one-person 401(k) plans
  • Simplified employee pensions (SEPs)
  • SIMPLE (Savings Incentive Match Plan for Employees) IRAs
  • Age-weighted/comparability profit sharing plans
  • Deferred compensation plans
  • Defined benefit pensions
  • Third-party administration (TPA) partnerships


We understand the responsibilities required to manage significant assets, while adhering to your organization’s mandate. Our team can serve as an extension of your investment committee and provide support in helping you to fulfill fiduciary responsibilities. We help our clients implement strategies designed to effectively manage their portfolio, stewardship duties and spending policy needs. We also understand the importance of your work and your desire to uphold your foundation’s mission in the years to come.

Services include:

  • Due diligence and research
  • Selection of institutional-class managers
  • Investment policy statements
  • Portfolio management and rebalancing
  • Spending policy needs, portfolio reviews and stewardship documentation
  • Knowledgeable support and guidance on regulatory standards


If you bear the fiduciary responsibilities of a nonprofit organization, you face numerous challenges in carrying out your organization’s mission. Your job may also include marketing and fundraising as you draw awareness to the causes you champion. There are also directors and board members who are concerned with budgets and long-term financial planning.

With years of experience in serving nonprofits and the resources of one of America’s leading financial firms at our disposal, we are happy to assist you with insightful investment guidance – from strategy development and investment research to customized performance reporting and oversight. We can work closely with your organization’s other professional advisors – such as trustees, attorneys and CPAs – and, as appropriate, provide referrals to help strengthen your foundation’s advisory team. Our services include:

  • Investment policy review and development assistance
  • Asset allocation guidance
  • Investment search and selection assistance
  • Performance reporting
  • Research and due diligence
  • Services and education for fiduciaries

All investments are subject to risk, including loss. Asset allocation and diversification does not ensure a profit or protect against a loss. There is not assurance that any investment strategy will be successful. Advisory fees are in addition to the internal expenses charged by mutual funds and other investment company securities. To the extent that clients intend to hold these securities, the internal expenses should be included when evaluating the costs of a fee-based account. Clients should periodically re-evaluate whether the use of an asset-based fee continues to be appropriate in servicing their needs. A list of additional considerations, as well as the fee schedule, is available in the firm's Form ADV (Part 2A) as well as the client agreement.