Groom regularly advises plan sponsor clients on plan governance, plan administration and plan investment matters. This includes investments in employer stock, in kind contributions of employer real property, creation of “custom” investment funds, plan expenses, ERISA Section 404(c) compliance, completion of Form 5500s, implementation and administration of self-directed accounts, as well as the myriad of transactions that can affect plans.

We have unparalleled experience in counseling clients through state and federal audit and enforcement initiatives, as well as related plan funding and termination applications and approvals. And to the great benefit of our clients, Groom is second to none in obtaining from the Department of Labor advisory opinions, prohibited transaction exemptions, and other guidance so that our clients can meet their employees’ benefits needs while still complying with ERISA – which we’ve been doing since it was enacted in 1974.


  • Corporate Transactions Affecting Plans
  • DOL Investigations
  • De-Risking Transactions
  • ERISA Section 404(c)
  • Employer Stock and Plan Investments
  • Form 5500s
  • Independent Fiduciary Selection
  • Plan Contracts and Service Arrangements
  • Plan Expenses
  • Plan Governance
  • Plan Terminations
  • Prohibited Transaction Review and Correction
  • Reporting and Disclosure
  • Self-Directed Accounts