DOL audits can be stressful, complicated and expensive! The best way to handle one is to avoid it in the first place. Through our experience, we’ve outlined three hot button issues that are major red flags for the DOL. Watch our short video for the tips and best practices to help manage risk.

Valenta Capital Management

11990 Grant Street Suite 101

Denver, CO 80233

3938 John F. Kennedy Pkwy. Unit 11D

Fort Collins, CO 80525

(303) 951-5975

Registered Representative, Securities offered through Cambridge Investment Research Inc., Broker/Dealer, Member FINRA/SIPC. Investment Advisor Representative, Cambridge Investment Research Advisors Inc., a Registered Investment Advisor. Valenta Capital Management and Cambridge are not affiliated.

This information has been developed as a general guide to educate plan sponsors and is not intended as authoritative guidance or tax/legal advice. Each plan has unique requirements and you should consult your attorney or tax advisor for guidance regarding your specific situation.

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