Business Retirement Solutions


WhaleRock works with small and mid-size businesses to optimize Employer Sponsored 401(k) plans for the benefit of both employees and company owners. With increased complexity in plan design, lack of fee transparency and magnitude of available investment options, WhaleRock provides fiduciary guidance to plan sponsors.

 WhaleRock is a 3(38) fiduciary: A fiduciary is a person or organization that acts on behalf of another person or persons to manage assets. As a 3(38) Fiduciary, business owners are able to transfer a majority of 401(k) investment liability to WhaleRock as its advisor.



WhaleRock offers a complete range of services for employers:

·       Fiduciary Responsibility

·       Investment Due Diligence

·       Record Keeper Analysis and Benchmarking

·       On-site Participant Education

·       Plan Design Support 


In working with business owners and employees, we have helped our clients realize the benefits of reduced fees, higher level of customer service and increased participation rates. WhaleRock understands the importance of your commitment to your employees with their retirement goals and is dedicated to maximizing the 401(k) benefit.