PROTECT YOUR CLIENTS

3(38) Investment Fiduciaries is a solution for plan sponsors who want to minimize their retirement plan fiduciary investment exposure. We partner with financial advisors and plan consultants to build the investment offering available to their plan sponsor clients. Our firm will sign on as a 3(38) Investment Fiduciary to monitor, document, and execute fund changes. We will provide ongoing reporting on whether the funds are being placed on watch list or being removed that’s available in your online password protected plan portal.

SUPPORT YOUR PRACTICE

Customizable Investment Lineups

We can provide standard lineups or can customize the investment lineup to your client and firm needs.

Updated Investment Reporting

Our firm will provide quarterly investment monitoring with commentary on funds placed on watchlist.

Online Plan Portal for Plan Sponsor Clients

You will be provided an online plan portal for each of your plan sponsor clients to organize their fiduciary files. Best of all, our advisors will have a single sign on to manage all of their clients.

Cost

Our cost for plans over 1 million is 5bps of plan assets. 10bps for plans under 1 million.

3(38) Investment Fiduciaries is your 401k Back Office

Investment Process Methodology – Overview

Quantitative0%
Qualitative0%

3(38) Investment Fiduciaries follows a pass/fail criteria, on a scale of 0 to 100 (with 100 being the best) for active managers. This investment due diligence methodology incorporates both quantitative and qualitative factors in evaluating fund managers and their investment strategies.

 

Eighty percent of the fund’s score is quantitative which incorporates such factors as style, risk/return, and peer group rankings. The other 20% of the score is qualitative, taking into account things such as manager tenure and the fund’s expense ratio relative to the average fund expense ratio in that asset class category.