ACES 2.0: Advisor Commitment to 401(k) Education & Service


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 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.