Tag: 3(38) fiduciary

Products June 26th, 2019

Mesirow Offers Fiduciary Automation Technology Service

The Mesirow Financial Fiduciary Automation Service Technology provides broker-dealers the same automation and compliance engine that Mesirow uses to service its own 3(21) and 3(38) fiduciary service clients.

March 6th, 2019

Clear Ground Rules Essential With 3(38) Fiduciary Clients

Experts share strategies for helping advisers taking on 3(38) fiduciary clients understand how they can set up the right processes and procedures—up front—for dealing with client concerns and questions about the investment menu.

Products October 31st, 2018

UBS Creates Program to Help Advisers Serve Small Plans

Retirement Plan Manager is aimed at helping advisers serve plans with less than $5 million in assets.

Client Service April 18th, 2018

Two-Thirds of DC Consultants Charge Fixed Dollar Fees

This is down from three-quarters last year, a PIMCO survey found

March 1st, 2018

DISRUPTION: 3(38) Market Leader CAPTRUST Talks Growth Trends

“If the whole DC plan advisory industry could have a do-over from say, 20 years ago, I think there would probably be much more of an emphasis from a lot of different firms on the 3(38) arrangement,” says CAPTRUST CEO Fielding Miller; in an exclusive interview, he describes in detail the firm's success building scale in the 3(38) fiduciary advice market.

Industry White Papers

Millennial Myths & Realities Strategies for Strengthening and Expanding Client Relationships

The Great Wealth Transfer Generations of Possibilities

It’s Time to Get Serious About Retirement Income Solutions Thoughtful consideration of a participant’s journey, both up to and through retirement, can help participants meet their retirement goals—and better position plans to retain assets.

The Making of a Glide Path Understanding the Impact of Design Decisions on Retirement Outcomes

Are employees relying on employers to solve financial problems? Employees who are financially stressed and working out of economic necessity can negatively impact workplace productivity.

2019 PIMCO Defined Contribution Consulting Study Providing retirement income potential, evaluating TDFs and plan costs, and simplifying investment menus are key.