Fiduciary & Administrative Oversight

Every plan sponsor needs to understand the fiduciary responsibility associated with offering a retirement plan. It is important for you to work with experts who can help you navigate the complexities of that responsibility. Our processes and procedures are geared towards helping you maintain prudent compliance and administrative standards. Consider us an extension of your Human Resource Department, helping to ensure your organization is administering the plan with a high level of prudence. Your Human Resource Department can count on us to provide on-going support, resources and information.

Key deliverables include:

Custom Investment Policy Statement
Committee Charter/Board Resolutions
ERISA 404(a) & 404 (c) Compliance Guidance
Meeting Minutes/Documented Actions/Agendas
Build An Internal Fiduciary File
DOL/IRS Audit Preparedness
Plan Notice Checklist
Human Resource Best Practices

Company Info

Zephyr Investment Management

California Office:

3625 East Thousand Oaks Blvd, Suite 145
Westlake Village, CA 91362

Georgia Office:

42 Main St, Suite 2A
Senoia, GA 30276

P: 805-496-6810
F: 805-496-0630
E: info@zephyrim.com

Investment Updates

Strong Jobs Report Caps A Week For The Record Books

Strong job creation in May, reported Friday morning, dispelled any chance of a recession in the foreseeable future, sending stock prices higher and capping a strong week of improvement in

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Planning Briefs

Artificial Intelligence Leaders Warn Of Dire Consequences; What’s It Mean To You Financially?

Three-hundred-fifty artificial intelligence (AI) executives, researchers, and engineers issued a dire warning Tuesday that the technology poses an existential threat to humanity.

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Zephyr’s Blog

Five Strategies To Improve Your Investing Experience

There are numerous investment philosophies, but at the end of the day, almost all investors have a common goal – to have their money work for them and increase their assets. As financial professionals, our goal is to partner with...

FSC Securities Form CRS

Securities and Advisory Services offered through FSC Securities Corporation, Member FINRA/SIPC. Additional advisory services offered through Zephyr Investment Management, a registered investment advisor in the state of California, not affiliated with FSC Securities Corporation.

This communication is strictly intended for individuals residing in the states of AZ, CA, CO, CT, DC, FL, HI, ID, IN, MA, NC, NM, NV, NY, PA, OR, UT, and WA. No offers may be made or accepted from any resident outside the specific states referenced.

IMPORTANT CONSUMER INFORMATION

A Broker/dealer, investment adviser, BD agent, or IA rep may only transact business in a state if first registered, or is excluded or exempt from state broker/dealer, investment adviser, BD agent, or IA registration requirements as appropriate. Follow-up, individualized responses to persons in a state by such a firm or individual that involve either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made without first complying with appropriate registration requirements, or an applicable exemption or exclusion. For information concerning the licensing status or disciplinary history of a broker/dealer, investment, adviser, BD agent, or IA rep, a consumer should contact his or her state securities law administrator. Information is also available at www.adviserinfo.sec.gov and brokercheck.finra.org.