ERISA 3(38) Services 2016-11-15T11:24:36+00:00

Experience the Highest Level of Fiduciary Care

Due to recent efforts by the U.S. Department of Labor to strengthen its “Definition of Fiduciary,” plan sponsors are seeking out the products and services of true investment fiduciaries for their retirement plans. Currently, many plan sponsors are at great risk by having their plans monitored either by the sponsor themselves (such as human resource employees or benefit committee members) or by non-fiduciary professionals such as brokers or registered representatives who do not relieve the plan sponsor of any fiduciary liability. It is very important that as a plan sponsor, you understand the fiduciary responsibility you currently have, and how a §3(38) Fiduciary Advisor can help.

The Appleton Group is one of the first firms in northeast Wisconsin to offer both ERISA 3(38) Full Fiduciary Services (the highest level available) as well as ERISA 3(21) Co-Fiduciary Services.

By hiring The Appleton Group as your 3(38) Fiduciary we…

    • Immediately accept the transfer all investment selection risk to us
    • Immediately work to eliminate all conflicts of interest
    • Immediately work to improve your plan’s risk/reward profile
    • Immediately initiate our independent participant education and financial planning program

Why Hire a 3(38) Fiduciary?

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3 Easy Steps to Engaging The Appleton Group: