Investment Management


There are numerous investment-related situations where a plan sponsor or other named fiduciary could increase participant protections and reduce exposure to liability by the transfer of fiduciary responsibility to an independent third party.  Whether looking to avoid an actual or potential conflict of interest or to delegate responsibility to a knowledgeable expert, the appointment of an independent fiduciary to act solely on behalf of plan participants can help the plan sponsor or other named fiduciary meet its fiduciary obligations and avoid potential problems.

Selection & Monitoring

We will assume full responsibility for the selection, monitoring, and, if appropriate, termination of investment managers or mutual funds.

  • For 401(k) plans we select, monitor, and, if necessary terminate, investment managers or mutual funds
  • For defined benefit plans, we assume sole responsibility and full discretionary authority for the plan’s assets

See Case Studies One and Two.

Review & Analysis

We will review fund of fund managers, including evaluation of the manager’s internal practices and capabilities. We can also be responsible for the monitoring of portfolio structuring, performance and operation relative to fund objectives and guidelines.

Asset Transfers

We will serve as the independent fiduciary for a range of engagements involving the transfer of assets between benefit plans or between funds or other investment vehicles. While these engagements all differ in certain aspects, they all involve:

  • Overseeing the transfer of assets
  • Reviewing and confirming valuations and ensuring compliance with procedures and portfolio mandates
  • Determining that the transfer was handled in a reasonable fashion consistent with the terms of a fund or plan.

See Case Studies Three, Four, and Five

Real Estate

We provide fiduciary oversight of transactions among interested parties, determinations regarding valuation issues, and representation of client interests with regard to performing and distressed real estate assets.

Next Steps

Fiduciary Counselors has tremendous experience in the area of investment management for employee benefit plans. We welcome the opportunity to discuss any situation in greater detail. Please contact us if you’d like to explore our solutions.

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    Case Study

    For a major financial institution who offers portfolio management services to third parties, we assume the responsibility for determining…

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