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3(38) Financial Guidance and Assistance

Support for various functions of the plan are provided by a Registered Investment Advisor*.

Help with core fund selection, monitoring of core plan investments and managed model development.

ERISA 3(38) advisor

An ERISA 3(38) Advisor performs tasks such as determining the investment roster, monitoring it ongoing, making and documenting changes, regulatory requirements, and more.

3(38) Liability Reduction

The plan sponsor(s) is protected from suits and liability for investment roster decisions when using a 3(38) Investment Advisor.

Selection of Core Funds

The plan investment advisor is generally responsible for the selection and monitoring of the core investment lineup.

Retirement Planning

The plan investment advisor works with plan participants to assist with retirement related questions and planning.

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*Wellington Consulting Services, a registered investment advisor is affilated with Wellington Retirement Solutions, Inc.