Mahurin Honors College Capstone Experience/Thesis Projects



Document Type



My focus for this project is to educate myself and my peers on the process of analyzing a 401(k) plan, specifically the due diligence that should be performed when analyzing a retirement plan. Specific aspects of this project will involve: (1) explaining the different roles needed to administer a 401(k) plan; (2) discussing an advisor's role in a 401(k) plan; (3) analyzing fiduciary duty levels; (4) reviewing the appropriate types of investments to include in a 401(k) plan; (5) providing suggestions for financial wellness programs; and (6) discerning the appropriate level of fees for each service. I seek to provide clarity for the overall due diligence process that should be performed by a plan sponsor before the plan enters into an agreement with an advisor. It’s important for plan sponsors to be educated on qualities of an efficient 401(k) plan. At some point everyone will have to think about planning for their retirement and it is good practice to know in your early years if you are investing in an efficient way through your employer sponsored plan.

Advisor(s) or Committee Chair

Ron Rhoades, Andrew Head, Dr. Chris Keller


Business Law, Public Responsibility, and Ethics | Finance and Financial Management