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At IIS Financial Services, we serve and support retirement plan sponsors throughout Maine and Northern New England. Our clients know that we deliver the resources they need to navigate the complex world of retirement plan administration and oversight. With deep knowledge of provider networks, employee benefits needs, and the evolving retirement plan landscape, we develop customized plan design, service, investment review, and education programs for each employer.

Our experience has taught us what works and what doesn't. Our process has proven effective for employers large and small, nonprofit and for-profit, in both the public and private spheres.

Our Process

Needs Assessment

What are your goals for the plan? How does leadership want the plan to work for the business owners and employees? What are the biggest challenges in implementing an existing strategy or in rolling out a new one? We aim to determine what pain points are and develop a strategy to address them.

Plan Analysis

How does your plan stack up in the current employer retirement plan environment? When was the last time you had it evaluated by an independent advisor? Have you kept up with your fiduciary duty to the plan by ensuring that it’s staying current? We offer complimentary plan reviews to plan sponsors looking to see what their options are.

Cost Savings Recommendations

Does your fund lineup reflect your company’s Investment Policy Statement? Have you put record keeping, TPA, and advisory services out to bid recently? We evaluate the plan’s ongoing costs to make sure that businesses and organizations aren’t paying too much for the service and performance they are receiving.

RFP Services

Whether or not you are an existing client, we are pleased to offer RFPs for your plan services. With deep knowledge of the retirement plan landscape, we can help ensure an efficient and clean RFP process. This service is valuable to all plan sponsors looking to comply with today's best practices.

Plan Design & Consulting Services

Do you have Roth contributions? Has your plan been impacted by the SECURE Act? Does a Safe Harbor provision make sense for your business? We will perform a plan document review to ensure that you understand all the options available to your organization. We will also help you understand the plan’s adoption agreement as it stands. 

Investment Services

Do you know how much your plan costs your business? Do you know what it costs the participants? Are those expenses reasonable? Is there any indirect revenue sharing among service providers? Do you review your investment offerings on an annual basis? We will clarify and simplify your fee structure to help you understand what you are paying for.

Communication & Education

We provide top-notch initial and ongoing enrollment meetings, as well as asset allocation strategy meetings and investment education seminars. Financial planning assistance to your plan participants is also offered to drive better participant outcomes.

Administration & Plan Management

We assist Human Resources, Finance, and Operations professionals in overall plan and vendor supervision. We quarterback the plan with our record keeping and TPA partners, to provide a system of checks and balances. We coordinate services and benchmark our vendors to the retirement plan industry.

Fiduciary Services

We will partner with you as a 3(21) co-fiduciary to mitigate, as much as possible, your exposure to personal liability resulting from being a Plan Sponsor. Providing proper plan governance and stewardship is our everyday business and practice.

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