Sponsor Services
Administrative Outsourcing
Participant Services
Plan Sponsors, Trustees, and Fiduciaries
We work with sponsors to design a plan that will meet their unique goals and expectations. As an ERISA 3(38) investment advisor, Strategic will take fiduciary responsibility for selecting a diversified set of investment options, as well as providing investment advice and education to plan participants.
Plan Design
- Strategies for maximizing tax deferred savings of business owners and key employees
- Methods to improve participation and savings of the employee population
- Retirement Plan Provider evaluations and negotiations
Fiduciary Protection
- Consulting on ERISA 404(c) compliance
- ERISA 3(38) advisor assuming fiduciary liability for the investment process
- Fee transparency and fee analysis with industry benchmarking to assist sponsors and trustees with fulfilling their fiduciary responsibility
Investment Consulting
- Asset allocation models diversified globally and across multiple asset classes
- Rebalancing participant retirement accounts to maintain target asset allocation
- Reallocating asset allocation models to optimize reward for risk
- Research, analysis and selection of investment options
- Continuous investment option monitoring and due diligence
Human Resources Professionals
Strategic relieves much of the administrative burden often placed on human resources professionals by tackling administrative tasks directly with plan participants.
Administrative and Support Services
- Comprehensive enrollment services
- Ability to execute transactions on behalf of participants
- Investment elections and transfers
- Hardship withdrawal approval and execution
- All forms of distributions
- IRA and 401(k) rollover assistance
- New pin/lost pin number requests
Plan Participants
Through education seminars and one-on-one investment and retirement advice, we encourage and empower participants to take ownership of their retirement success.
Enrollment and Education Meetings
- Stress-free enrollment services for plan participants
- Frequent, informative, and engaging education meetings that inspire greater plan participation and retirement savings
Retirement Planning and Investment Advice
- One-on-one meetings with an experienced retirement professional
- Retirement forecasts and GAP analysis for individual plan participants
- Custom risk-based asset allocation models for participants of varying lifestyles and stages of the lifecycle
Business owners, trustees and plan fiduciaries
- Plan design strategies to maximize funding for targeted groups or classes of employees
- DC/DB combination plans for professional practice groups and successful business owners seeking tax deductible contributions in excess of $200K per year
- Custom-designed lifestyle portfolios crafted from "best of breed" open architecture
- ERISA compliance and consulting services
- Retirement Plan Provider evaluations and negotiations
- Planning and coordination for plan transfers/conversions
- Fiduciary protection through ERISA 3(38) Investment Advisory agreement
- Investment Policy Statement development
- Investment due diligence from an independent advisor
Human resources professionals
- Outsourcing plan administrative tasks
- Automated loan and distribution processing
- On-site training for HR staff regarded 404(c) and plan administration
- Creative, custom education and communication programs tailored to your workforce
- Edutainment adds levity to traditionally boring enrollment and education meetings
- Demographic trends analysis for identifying areas for improvement
- individual GAP statements designed to increase plan participation
- Participant investment advice and retirement planning services
- Ability to execute investment transactions on behalf of plan participants
- Watchdog on plan fees and expenses
- ERISA compliance and consulting services
- Retirement Plan Provider evaluations and negotiations
- Planning and coordination for plan transfers/conversions
- Fiduciary protection through ERISA 3(38) Investment Advisory agreement
- Liaison between HR department and plan provider
Employees and plan participants
- Asset allocation models for simplified investing
- Individual meetings to discuss retirement planning and investment advice
- Assistance with plan administrative tasks such as loans, distributions and rollovers
- Investment education through our web video series
- Low-cost institutional style investment offerings
- Watchdog on plan fees and expenses
David Lemire, CFA
Senior Market Strategist
David serves on Strategic’s investment committee with a primary focus on asset allocation strategies. In addition, he works with private clients, institutions and Corporate Retirement Plans in managing their investment portfolios. As a Managing Director, Dave is a member of Strategic’s Executive Committee.
Laura Hailston
Director – Retirement Plan Services
Laura E. Hailston joined Strategic in 2004. She specializes in plan administration, business development and customer service for the corporate retirement plans division.
Alan R. Leist, Jr., CEO, CFP
Chief Executive Officer
As the Chief Executive Officer, Alan is responsible for the overall direction of the firm and managing employees in various operational and management capacities. In addition, he services a wide ranging base of clients in helping them achieve their financial objectives.
Alan R. Leist, III, CFA
Chief Investment Officer
Alan is responsible for the prudent management of all equity, fixed income and asset allocation strategies across the firm. In addition, he specializes in consumer sector equity research. As a Managing Director, he is a member of the Portfolio Management Team and Strategic’s Executive Committee.
Catherine Martin
Retirement Plans Service Specialist
Cathy will be assisting Laura Hailston in the enrollment, education and related administration of the corporate retirement plans division of Strategic. She will work closely with employees of those plans as needed to steer them in the right direction as they plan for their retirement.
Kasey Williams
Chief Compliance Officer
Kasey Williams joined Strategic in 2008. As CCO, Kasey is responsible for ensuring SEC compliance across the firm. In addition to his compliance duties, Kasey serves as the investment team liaison to the operations department and retirement plans division.
“When a client calls, they will always speak to someone who can either help them right away or get them in touch with someone who can.”
Melissa Fernalld
Financial Planning Associate