ERISA 3(38) Services

Managing your obligations as a fiduciary can be challenging. As a plan sponsor you are required to navigate the landscape of available investment managers, monitor plan investments, and more. In response to these needs, Q3 Asset Management (“Q3®”) offers plan sponsors ERISA 3(38) services.

Access Q3’s Expertise

Q3’s ERISA 3(38) services utilize Q3’s independent experts to screen, monitor, and recommend investment options for plan sponsors. Q3’s investment professionals are responsible for the creation and oversight of the 3(38) Investment Menus, offering your plan the opportunity to benefit from the same screening methodology that helps select investment options for some of the largest pension plans in the world.

Proven Process Made Simple

Q3 has a disciplined methodology for screening, monitoring, and recommending investment options for your plan’s investment lineup.

Q3 offers independent, third-party investment advice based on 100+ combined years of providing investment management services.

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Documentation & Reporting

Q3 provides a template investment policy statement that aligns with the methodology used to select and monitor investment options.

We deliver quarterly investment performance and coverage status reports to help you track and monitor your plan’s investment lineup and keep you apprised of our service.

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Flexible Investment Options

Q3 will work with you to build a fiduciarily sound investment menu designed to meet the needs of all participants.

Q3 will assist plans to map existing investment lineups to a lineup that employs a prudent investment process to monitor investments and replace those that aren’t in the best interest of plan participants.

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Legal Protection

Q3’s process to monitor and replace investment options is consistent is designed to be in compliance with ERISA. The Department of Labor allows employers to appoint an investment manager to select investment alternatives in the plan, the employer is responsible for the selection of the
manager, but is not liable for the individual investment decisions of that manager.

Once hired as a 3(38) investment manager, Q3 has complete responsibility for making decisions about investment selection and monitoring.

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