401(k) Advisors, based in Orange County, California, first started expanding its East Coast operations nearly seven years ago, the firm says, around the time Falcone joined the firm. To complement Falcone, who is now vice president of the east region, the firm added four senior plan consultants, a former practicing Employee Retirement Income Security Act (ERISA) attorney, a former practicing actuary and a chartered financial analyst.
Jesse Taylor, a communications manager for 401(k) Advisors, shared the team’s lineup with PLANADVISER:
- Mike Falcone, vice president, east region – Falcone joined 401(k) Advisors in 2007 and brings 30 years of experience in qualified plan design, investment due diligence, plan funding and participant communications. Mike leads the east region team in both consulting and new business development.
- Tim Black, senior plan consultant – Before joining 401(k) Advisors in 2013, Black served as the director of the retirement plan consulting division for NFP Corporate Services in New York. He has 25 years of experience providing best practices consulting services to retirement plan sponsors and participants, the firm says.
- Charles Catagnus, senior plan consultant – Charles Catagnus joined 401(k) Advisors in 2013, with 30 years of industry experience. Catagnus brings expertise in plan design, administration and recordkeeping, regulatory compliance and fiduciary governance.
- Richard Fellows, senior plan consultant and ERISA specialist – Fellows is a former practicing ERISA attorney with more than 30 years of experience working with plan sponsors and plan participants. He specializes in fiduciary compliance, plan design and education regarding the ERISA landscape.
- David Rinehart, plan consultant – Rinehart joined 401(k) Advisors in 2011 with 15 years of experience in portfolio management, client servicing and investment consulting. He is a member of the 401(k) Advisors Investment Committee that conducts money manager evaluations with regard to their qualitative processes.
- David Shaw, plan consultant – David Shaw joined 401(k) Advisors in 2013 as part of its New York branch office. He has 10 years of industry experience in assisting plan sponsors with investment consulting, plan design, fee analysis, ERISA compliance and fiduciary best practices.
- Pamela Basse, plan consultant – Basse joined 401(k) Advisors in 2014, with 15 years of retirement plan consulting expertise. She specializes in plan design, investments, fiduciary responsibility, fee analysis and participant communication.
The East Region Team will focus its efforts on clients located between northern Virginia and Maine. The team’s consulting services will focus on helping clients maximize retirement plan outcomes by increasing investment performance, cutting down plan expenses, improving efficiency and helping sponsors meet ERISA compliance requirements.
The team will also host various seminars and online events aimed at plan sponsors—providing information about legislative and regulatory mandates and fiduciary best practices.
More information is available at www.401kadvisors.com.