# Find 3(38) Investment Managers
Source: https://planprovider.pro/3-38-investment-managers?page=2

> Delegate fiduciary liability with top-rated 3(38) Investment Managers. Compare experts who take full discretion over your retirement plan investment selection.

Secure the highest level of fiduciary protection by partnering with a 3(38) Investment Manager. These specialists assume full discretion over your plan’s investment decisions, significantly reducing your personal and corporate liability.

Browse 155 providers in this category.

## Provider ranking

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### [Arvest Wealth Management](https://planprovider.pro/provider/arvest-wealth-management)

Plan Advisor

Lowell, AR

**Stats:** $15.9B under management

[View Profile](https://planprovider.pro/provider/arvest-wealth-management)

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### [Western Financial Corporation](https://planprovider.pro/provider/western-financial-corporation)

Plan Advisor

San Diego, CA

**Stats:** $14.6B under management

[View Profile](https://planprovider.pro/provider/western-financial-corporation)

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### [Ballentine Capital Advisors, Inc.](https://planprovider.pro/provider/ballentine-capital-advisors-inc)

Plan Advisor

Greenville, SC

**Stats:** $12.0B under management

**Company:** Est. 2002 • 18 employees

[View Profile](https://planprovider.pro/provider/ballentine-capital-advisors-inc)

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### [Soltis Investment Advisors](https://planprovider.pro/provider/soltis-investment-advisors)

Plan Advisor • Pro Score 4.1

St George, UT

**Credentials:** CEFEX Certified

**Stats:** $12.0B under management

**Company:** Est. 2000 • 130 employees

[View Profile](https://planprovider.pro/provider/soltis-investment-advisors)

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### [Evergreen Advisors, LLC](https://planprovider.pro/provider/evergreen-advisors-llc)

Plan Advisor

Chattanooga, TN

**Stats:** $10.8B under management

**Company:** Est. 2001

[View Profile](https://planprovider.pro/provider/evergreen-advisors-llc)

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### [Heritage Financial Solutions, LLC](https://planprovider.pro/provider/heritage-financial-solutions-llc)

Plan Advisor

Dodge City, KS

**Stats:** $10.5B under management

[View Profile](https://planprovider.pro/provider/heritage-financial-solutions-llc)

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### [Conrad Siegel Investment Advisors](https://planprovider.pro/provider/conrad-siegel-investment-advisors)

Plan Advisor

Harrisburg, PA

**Stats:** $10.1B under management

[View Profile](https://planprovider.pro/provider/conrad-siegel-investment-advisors)

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### [Charles Stephen And Co., Inc.](https://planprovider.pro/provider/charles-stephen-and-co-inc)

Plan Advisor

Albuquerque, NM

**Credentials:** CFP® - Certified Financial Planner • AIF® - Accredited Investment Fiduciary

**Stats:** $10.0B under management

**Company:** Est. 1984 • 30 employees

[View Profile](https://planprovider.pro/provider/charles-stephen-and-co-inc)

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### [Forvis Wealth Advisors, LLC](https://planprovider.pro/provider/forvis-wealth-advisors-llc)

Plan Advisor

Kansas City, MO

**Stats:** $9.8B under management

[View Profile](https://planprovider.pro/provider/forvis-wealth-advisors-llc)

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### [Longview Asset Management, LLC](https://planprovider.pro/provider/longview-asset-management-llc)

Plan Advisor

Santa Fe, NM

**Stats:** $9.4B under management

**Company:** Est. 2002

[View Profile](https://planprovider.pro/provider/longview-asset-management-llc)

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### [Stephen Wealth Management Group](https://planprovider.pro/provider/stephens-consulting-llc)

Plan Advisor

Flint, MI

**Credentials:** RIA - Registered Investment Advisor

**Stats:** $8.7B under management

**Company:** Est. 2020

[View Profile](https://planprovider.pro/provider/stephens-consulting-llc)

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### [Hays Financial Group, LLC](https://planprovider.pro/provider/hays-financial-group-llc)

Plan Advisor

Edina, MN

**Stats:** $6.1B under management

**Company:** Est. 2021

[View Profile](https://planprovider.pro/provider/hays-financial-group-llc)

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### [Evergreen Capital Management LLC](https://planprovider.pro/provider/evergreen-capital-management-llc)

Plan Advisor

Omaha, NE

**Stats:** $5.2B under management

**Company:** Est. 1989 • 1 employees

[View Profile](https://planprovider.pro/provider/evergreen-capital-management-llc)

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### [Pension Consultants INC](https://planprovider.pro/provider/pension-consultants-inc)

Plan Advisor

Minneapolis, MN

**Stats:** $4.9B under management

**Company:** Est. 1994

[View Profile](https://planprovider.pro/provider/pension-consultants-inc)

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### [Coastal Bridge Advisors](https://planprovider.pro/provider/coastal-bridge-advisors)

Plan Advisor

Westport, CT

**Stats:** $4.6B under management

**Company:** Est. 2008 • 30 employees

[View Profile](https://planprovider.pro/provider/coastal-bridge-advisors)

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### [TCI Wealth Advisors, Inc.](https://planprovider.pro/provider/tci-wealth-advisors-inc)

Plan Advisor

Tucson, AZ

**Credentials:** CFA® - Chartered Financial Analyst • Other • AIF® - Accredited Investment Fiduciary • +2 more

**Stats:** $4.5B under management

**Company:** Est. 1990 • 75 employees

[View Profile](https://planprovider.pro/provider/tci-wealth-advisors-inc)

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### [Beacon Financial Group, Inc.](https://planprovider.pro/provider/beacon-financial-group-inc)

Plan Advisor

Aurora, OH

**Stats:** $4.3B under management

**Company:** Est. 1996

[View Profile](https://planprovider.pro/provider/beacon-financial-group-inc)

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### [Oswald Financial, Inc.](https://planprovider.pro/provider/oswald-financial-inc)

Plan Advisor

Clevland, OH

**Stats:** $3.5B under management

**Company:** Est. 2022 • 4 employees

[View Profile](https://planprovider.pro/provider/oswald-financial-inc)

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### [Ima Wealth](https://planprovider.pro/provider/ima-wealth)

Plan Advisor

Wichita, KS

**Stats:** $3.2B under management

**Company:** Est. 1999

[View Profile](https://planprovider.pro/provider/ima-wealth)

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### [Sage, Rutty & Co., Inc.](https://planprovider.pro/provider/sage-rutty-and-co-inc)

Plan Advisor

Rochester, NY

**Stats:** $3.0B under management

**Company:** Est. 1915 • 75 employees

[View Profile](https://planprovider.pro/provider/sage-rutty-and-co-inc)

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### [Certified Advisory CORP](https://planprovider.pro/provider/certified-advisory-corp)

Plan Advisor

Altamonte Springs, FL

**Stats:** $2.7B under management

**Company:** 38 employees

[View Profile](https://planprovider.pro/provider/certified-advisory-corp)

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### [Vicus Capital, Inc.](https://planprovider.pro/provider/vicus-capital-inc)

Plan Advisor

State College, PA

**Stats:** $2.6B under management

**Company:** Est. 1978 • 89 employees

[View Profile](https://planprovider.pro/provider/vicus-capital-inc)

- 

### [401kquote.com](https://planprovider.pro/provider/401kquotecom)

Plan Advisor

Norwood, MA

**Credentials:** CEBS® - Certified Employee Benefit Specialist • AIF® - Accredited Investment Fiduciary

**Stats:** $2.5B under management

**Company:** Est. 2000 • 10 employees

[View Profile](https://planprovider.pro/provider/401kquotecom)

- 

### [Stegner Investment Associates INC](https://planprovider.pro/provider/stegner-investment-associates-inc)

Plan Advisor

Louisville, KY

**Stats:** $2.4B under management

**Company:** Est. 1994 • 11 employees

[View Profile](https://planprovider.pro/provider/stegner-investment-associates-inc)

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### [Ingham Retirement Group](https://planprovider.pro/provider/ingham-retirement-group)

Plan Advisor

Miami, FL

**Stats:** $2.3B under management

**Company:** Est. 1972

[View Profile](https://planprovider.pro/provider/ingham-retirement-group)

# Delegate Risk with Top 3(38) Investment Managers

For retirement plan sponsors, managing fiduciary liability is often the most stressful aspect of offering a 401(k) or defined benefit plan. Hiring a **3(38) Investment Manager** is the most effective way to mitigate this risk. Unlike standard advisors, a 3(38) manager is a named fiduciary under ERISA who has the power to manage, acquire, and dispose of plan assets. By appointing a 3(38) manager, you effectively transfer the responsibility—and the liability—of investment selection and monitoring from your investment committee to a qualified professional.

## The Critical Difference: 3(38) Managers vs. 3(21) Advisors

When searching for [plan advisors](https://planprovider.pro/plan-advisors), it is vital to understand the distinction in authority. A 3(21) advisor provides recommendations, but you retain the final say and the ultimate liability. In contrast, a 3(38) Investment Manager takes the "keys to the car." They have full discretion to make changes to the investment lineup without needing your prior approval. This distinction is crucial for sponsors who lack the time or expertise to evaluate complex financial metrics constantly.

Leading [ERISA attorneys](https://planprovider.pro/erisa-attorneys) often recommend the 3(38) model for companies looking to maximize protection against class-action lawsuits related to investment performance or excessive fees.

## Key Benefits of Hiring a 3(38) Fiduciary

Partnering with a 3(38) Investment Manager offers tangible benefits beyond peace of mind. These experts streamline plan operations and enhance governance structures.

- **Maximum Liability Transfer:** The manager assumes legal responsibility for investment decisions, shielding the plan sponsor from claims of imprudent selection.

- **Streamlined Administration:** Because the manager can replace underperforming funds immediately without committee votes, the plan reacts faster to market changes.

- **Compliance and Quality:** These managers are held to the highest "prudent expert" standard under ERISA, ensuring your [401k plans](https://planprovider.pro/retirement-plans/401k) utilize high-quality, cost-effective investment options.

## Finding the Right Fiduciary Partner

Not all firms are willing or qualified to act as a 3(38) Investment Manager. It requires a specific level of insurance, expertise, and operational capability. When reviewing providers in this category, ask for their Investment Policy Statement (IPS) process and confirm their status in writing. Whether you are running a small business plan or a large corporate fund, utilizing a 3(38) manager is a best practice that protects both the company and the employees' retirement futures.

[View full interactive listing on PlanProvider.Pro](https://planprovider.pro/3-38-investment-managers?page=2)

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