The RDNA Fiduciary Vault

If you don’t document it, it didn’t happen.

“The second most frequent fiduciary mistake is failing to document the decision-making process. This is like giving a disgruntled participant’s attorney the PIN to your bank account.”

PlanSponsor Magazine

The Retirement DNA Fiduciary Vault is an online vault for everything you may need in the face of a DOL audit.

When the DOL audits, there are 32+ items they will ask for.  Gathering those items within the window of opportunity can be challenging for even the most organized business owners and individuals.  If you are required to do an annual CPA audit or, in the case of Mergers & Acquisitions, CPAs and Attorneys have access to the organized documentation they need to do their jobs.

CLIENT LOGIN

When you log in

When you log into the RDNA Fiduciary Vault you have access to all of the processes and reporting that your Retirement DNA team has created to support your ongoing financial health.

Deparrtment of Labor Compliance Checklist

Compliance

Our DOL Audit Checklist is used to help us document and monitor the key compliance items the DOL will ask for in the event of an audit.

Some of the key features of our compliance portal are:

  • Secure online document storage
  • Coverage of 20 of the 23 DOL audit checklist requirements
  • Preparation for potential IRS audits
Download our Complimentary DOL Audit Check List Here

You are a valued client of RetirementDNA and we are pleased to provide you with online access to the following documents.

  • Investment Committee Documents

    1. Meeting Agendas
    2. Meeting Minutes
    3. Fiduciary Documents

  • Plan Investment Selection

    1. Investment Policy Statement
    2. Investment Monitoring Reports
    3. Target Date Analysis
    4. Capital Preservation Fund
    5. Fund Change Documentation

  • Service provider due diligence

    1. Vendor Benchmark/RFP
    2. Service Agreements
    3. 408b2 Plan Level Fee Disclosure
    4. Fee Benchmark
    5. Industry Benchmark
    6. Cyber Security

  • Participant Communications

    1. 404a5 Participant Fee Disclosure
    2. QDIA/404c Notices
    3. Automatic Enrollment-Increase
    4. Summary Annual Report
    5. Fund Change Notices
    6. Sample Participant Statement
    7. Participant Surveys

  • Plan Documents & Administration

    1. Plan Review Reports
    2. Plan Document
    3. SPD
    4. Summary of Material Modifications
    5. Adoption Agreement
    6. IRS Determination or Opinion Letter
    7. Fidelity Bond / Fiduciary Insurance
    8. Discrimination Testing
    9. 5500
    10. SSA Filings
    11. Trust Agreement
    12. Loan Policy

  • Mergers & Acquisitions

Deparrtment of Labor Compliance Checklist

Compliance

Our DOL Audit Checklist is used to help us document and monitor the key compliance items the DOL will ask for in the event of an audit.

Some of the key features of our compliance portal are:

  • Secure online document storage
  • Coverage of 20 of the 23 DOL audit checklist requirements
  • Preparation for potential IRS audits
Download our Complimentary DOL Audit Check List Here

You are a valued client of RetirementDNA and we are pleased to provide you with online access to the following documents.

  • Investment Committee Documents

    1. Meeting Agendas
    2. Meeting Minutes
    3. Fiduciary Documents

  • Plan Investment Selection

    1. Investment Policy Statement
    2. Investment Monitoring Reports
    3. Target Date Analysis
    4. Capital Preservation Fund
    5. Fund Change Documentation

  • Service provider due diligence

    1. Vendor Benchmark/RFP
    2. Service Agreements
    3. 408b2 Plan Level Fee Disclosure
    4. Fee Benchmark
    5. Industry Benchmark
    6. Cyber Security

  • Participant Communications

    1. 404a5 Participant Fee Disclosure
    2. QDIA/404c Notices
    3. Automatic Enrollment-Increase
    4. Summary Annual Report
    5. Fund Change Notices
    6. Sample Participant Statement
    7. Participant Surveys

  • Plan Documents & Administration

    1. Plan Review Reports
    2. Plan Document
    3. SPD
    4. Summary of Material Modifications
    5. Adoption Agreement
    6. IRS Determination or Opinion Letter
    7. Fidelity Bond / Fiduciary Insurance
    8. Discrimination Testing
    9. 5500
    10. SSA Filings
    11. Trust Agreement
    12. Loan Policy

  • Mergers & Acquisitions

CONTACT US

533 S Vinewood Street
Escondido, CA 92029

(858) 216-4144
info@retirementdna.com

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Investment advice offered through Resources Investment Advisors, an SEC-registered investment adviser. Securities offered through Triad Advisors, LLC (member FINRA/SIPC). RetirementDNA and Resources Investment Advisors are separate entities from Triad Advisors, LLC. Please note the other companies referenced on this website are separate entities from RetirementDNA and Resources Investment Advisors and are not authorized to provide, and do not provide investment advisory services.

site design by digitalstoryteller.io

Investment advice offered through Resources Investment Advisors, an SEC-registered investment adviser. Securities offered through Triad Advisors, LLC (member FINRA/SIPC). RetirementDNA and Resources Investment Advisors are separate entities from Triad Advisors, LLC. Please note the other companies referenced on this website are separate entities from RetirementDNA and Resources Investment Advisors and are not authorized to provide, and do not provide investment advisory services.

site design by digitalstoryteller.io

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