Corporate Retirement Plans

Retirement Plan Management
(401k) (403b) (Profit Sharing) (Money Purchase) (Simple/SEP IRA) (Pension) (457 b/f)

Medallion Wealth Management guides plan sponsors and participants with a mission of raising the probability of success for participants. Through a sound process rooted in tenants of the fiduciary oversight, our clients experience the hands on service and expertise necessary in today’s challenging regulatory environment.

Trustee Support

As part of Medallion’s commitment to a high fiduciary standard we monitor the plan on a regular basis. Monitoring includes but is not limited to:

  • Investment manager (fund) performance
  • TPA/Record-keeper oversight
  • Custody oversight
  • Participant allocation/Education

Medallion professionals meet and report to trustees on a quarterly basis offering details in each area.

One on One Counseling

Medallion is committed to participant success through one on one counseling. Our professionals will engage participants initially and on an ongoing basis to understand their needs and offer specific information with regard to investment selection and contribution considerations. This is critical part of the process as most participants lack the time, expertise, and commitment necessary for long term success.

Model Portfolios

Medallion’s professional money management team will create and offer risk based model portfolios for participants. Through the use of these portfolios investment decisions are made at the professional level and not left to the participant. Many participants are paralyzed by too many options with too little time and expertise to make sound decisions. Our model portfolios range from conservative to highly aggressive in nature and offer participants a customizable solution to investment decision making.

Investment Fiduciary Consulting Services / Co-fiduciary status

Medallion offers true co-fiduciary relationships, we will serve in a 3(21) capacity. Most qualified plan fiduciaries (plan trustees) receive little or no formal training. Yet, qualified plan fiduciaries are expected to be able to document that sound plan management practices are being followed.

Medallion Wealth Management offers Fiduciary oversight services for the complex environment of retirement plans. Service providers, Plan administrators, and Plan trustees have a tremendous, and at times, overwhelming responsibility to plan participants. Although retirement plans are intended to act as an important benefit to employees, unfortunately many plan fiduciaries are unaware of the level of complexity involved in managing a successful plan. Further, many plan fiduciaries do not realize the potential liability associated with a breach in fiduciary oversight.  Our experienced professionals hold, or are in training to hold the  AIF® and AIFA® (accredited investment fiduciary analyst) designation. AIFA® designees offer guidance in the following areas:

  • Evaluate your organizations current fiduciary practices and recommend actions that address risk areas and help ensure compliance with applicable state and federal statutes and regulations.
  • Create and maintain a comprehensive investment policy statement that documents all of the processes and procedures that will be used to manage your portfolio.
  • Analyze and optimize your portfolios asset allocation strategy to better align with the demographic needs of plan participants.
  • Apply objective standards for evaluating and recommending appropriate investment options for your portfolio.
  • Monitor and report performance of your portfolio and its underlying investments on an ongoing basis and recommend changes when necessary.
  • Serve as a resource for education and assistance to help you understand and better fulfill your fiduciary obligations.

Medallion also offers assistance with:

  • Selection of service providers
  • Investment committee roles and responsibilities
  • Governance processes
  • Investment evaluation and selection processes
  • Investment fees and service costs
  • Performance review protocols
  • Documentation of investment processes and decisions
  • Risk management processes
  • Compliance with regulatory requirements
  • Conflict of interest policies
AIF® and AIFA® designees must successfully complete a specialized training program on investment fiduciary standards of care and International Organization for Standards (ISO) assessment procedures, pass a comprehensive examination, and meet the designation’s education and professional experience prerequisites which include a combination of having earned a bachelor’s, masters, and/or doctorate/JD degree: two to five years industry experience, and two years of auditing experience.    Both AIF® and AIFA® designees agree to abide by the Designee Code of Ethics. In order to maintain these designations; individuals must annually renew their affirmation of the Code of Ethics and complete continuing education credits.


Investing in securities (including the models advertised herein) involves risk of loss. Further, depending on the different types of investments there may be varying degrees of risk. Clients and prospective clients should be prepared to bear investment loss including loss of original principal. The model advertised herein is not designed based on the individual needs of any one specific client or investor. In other words, it is not a customized strategy designed on the specific financial circumstances of the client. However, prior to opening an account using the advertised model, your advisor will consult with you to determine if your financial objectives are appropriate for investing in the model. You are also provided the opportunity to place reasonable restrictions on the securities held in your account.