ERISA 3(38) & ERISA 3(16)

Investment Manager 3(38)

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As the investment fiduciary of your plan, we are responsible for:


  • Selection of the investment menu
  • Selection of the Qualified Default Investment Alternative (QDIA)
  • Monitoring & maintenance of the investment menu
  • Perform regular benchmark reports


Plan Administrator 3(16)

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As the Plan Administrator of your plan, we are responsible for:

  • Selection and monitoring of service providers
  • Ensure the tax qualified status of plan documents
  • Review, sign, and file IRS Form 5500 and all accompanying forms
  • Work with employer and service providers to ensure proper plan administration
  • Assist with DOL and IRS audits
  • Approve loans and distributions