3(38) INVESTMENT FIDUCIARIES

Overview

3(38) Investment Fiduciaries is a corporate investment adviser that registers with the SEC (since 2018) and positions itself as a pension consultant and discretionary 3(38) investment fiduciary for institutional clients. The firm’s mandate centers on pension consulting services for plan sponsors; it charges clients on a percentage-of-AUM basis and may also use fixed fees depending on the engagement. Filings indicate the business is individually owned and that the adviser does not identify as an active ESG investor. The firm’s operational focus is consistent with retirement-plan fiduciary oversight: acting in a discretionary capacity to implement and monitor plan investments on behalf of institutional accounts. That orientation helps explain the heavy use of public fund vehicles and the concentration of custody with a retirement-oriented platform.

Assets & Accounts

Investments & Alternatives

Location & Offices