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Private Equity - Family Office - Acquisitions

Service Highlights


  • Fiduciary Monitoring System -  We mitigate risk for the ownership and trustees by acting  as a 3(38) ERISA fiduciary which is the highest standard of fiduciary care  available to retirement plan sponsors.  We provide an Investment Policy Statement which will guide our process.  Our proven system has held up to DOL audits and is CEFEX certified.

  • Fiduciary Vault – We  store all the important documents associated with your plans in a      centralized location.  This is even more important to Private Equity  groups as these documents are sure to be requested for the due diligence process at exit.  Additionally we have historically seen high turnover at executive level positions and in the HR ranks among portfolio companies.  This vault insures nothing is lost in the transition, and allows us to get the new person up to speed quickly.  We also go through a checklist every year to make sure there are no operational risks which is where most portfolio companies get themselves into trouble.

  • RFP Director – As an independent advisor we have access to hundreds of platforms from which to      operate 401(k) recordkeeping.  This tool allows us to trim that list down to a few finalists where we can then do a deeper dive to figure out which recordkeeper would best match the demographics and needs of the portfolio companies and ownership.  This is also where we will leverage all of the plans together to obtain the best pricing possible.  Each plan will be individually maintained however to allow for ease of exit from the PE group.  In our negotiation though, we will insure that the pricing will hold at exit should the company want to maintain the current plan.

  • Industry Reports - We have access to national reports surveying employers by industry group.  This really comes in helpful as we look at each company and use this as a benchmarking tool for plan design.  This along with some of our other resources can help us come up with a creative plan      design that will make employees feel valued while also keeping an eye on employer financial outlay.


Why Use FWP For M&A?

Our Scale

Our team based approach can service clients locally or around the country.  Our partner advisors are at 87 offices nationwide supported by our headquarters out of Cleveland, OH.  Our hands on employer / employee approach is the recipe for a successful retirement plan & Financial Wellness Program.

Our Service

We take on the highest possible level of fiduciary responsibility as a 3(38) ERISA fiduciary to mitigate the risk to the portfolio companies.  We understand the communication needs to extend to both the ownership group and the portfolio company.


We understand the Merger & Acquisition space.  we know the timelines and the speed that is expected when  working on a deal.  We understand Platform vs. Add-On, Stock vs. Asset,  and strategies for all types of deals.

Due Diligence

We can look at deals prior to close to work on a plan so we can hit the ground running as soon as the deal closes and to make sure there are no major red flags that could cost a buyer down the road.