ACES 2.0: Advisor Commitment to 401(k) Education & Service
RUNNING AND GROWING YOUR 401(k) BUSINESS
Leverage our comprehensive approach
In the 401(k) plan marketplace, using a systemized and comprehensive approach is critical to success. ACES offers you tools for every phase of the client relationship: Prospecting, Discovery, Closing and Servicing. See how you can become an invaluable resource to plan sponsors and grow your retirement business today.
Leverage these turn-key and detailed worksheets, questionnaires, checklists, guidelines & surveys to:
- Effectively prospect with plan sponsors
- Identify areas where plan sponsors may be willing to make a change
- Help plan sponsors evaluate their current 401(k) plan and employee engagement
- Close new business and service existing business
ACES 2.0 Workbook
A resource guide including checklists, worksheets, surveys and information for use with 401(k) plan sponsors and employees.
Featured Resources
ACES 2.0 Workbook
A resource guide including checklists, worksheets, surveys and information for use with 401(k) plan sponsors and employees.
ACES 2.0 Advisor Presentation
A presentation focused on 401(k) plan business. Offers a process for you to follow to maintain and grow your retirement plan client base.
Related Worksheets
Insights & Education
Worksheet
Insights & Education
Worksheet
Insights & Education
Worksheet
Insights & Education
Worksheet
Related Resources
| Title | Description | |
|---|---|---|
| ACES Document Checklist | A checklist of documents that can provide valuable insights into a plan's goals, needs and history. | |
| ACES Common Fiduciary Concerns Questionnaire | Questions for plans sponsors to consider when reviewing areas for improvement when performing their role as a fiduciary. | |
| ACES Financial Professional Evaluation Questionnaire/Survey | An evaluation used to help plan sponsors rate the services of their current financial professional. | |
| ACES Planning Calendar | A planning calendar that allows for preliminary scheduling of meetings and educational services. Includes reminders of key dates in 401(k) plan administration. | |
| ACES Finals Presentation Checklist | Checklist to ensure financial professionals are well prepared for their finals presentation. Includes recommended activities before, during and after a finals presentation. | |
| ACES Employee Survey | Employee survey designed for plan sponsors to use with plan participants to determine if their current plan and plan design is meeting participants' needs. | |
| ACES 404(c) Information Checklist | A checklist intended to facilitate a Plan Sponsor's review of whether required information is being provided to participants. Covers both mandated disclosures and those triggered by participant requests. | |
| ACES Year-End Service Checklist | This form summarizes key services that have been provided over the course of the year and provides a preliminary plan to schedule service delivery in the year ahead. Helps financial professionals reaffirm the level of service they are offering to plan sponsors. | |
| ACES Annual Review Agenda and Discussion Guidelines | A comprehensive set of agenda guidelines including 6 potential discussion topics. Designed to help financial professionals confirm the annual review date and items for review. |
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The Advisor Partnership Program (TAPP)®, Our Experience. Your Potential®, ACES®, ACES — Advisor Commitment to Education and Service®, and Retirement Reimagined® are registered trademarks of Legg Mason Investor Services, LLC.
