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(REDLINED) Revised Investment Management Agreement for QDIAs (A0285529x9E0D7) (A0291558).DOC. 12204A0291558.1/font8

(REDLINED) Revised Investment Management Agreement for QDIAs (A0285529x9E0D7) (A0291558).DOC. 12204A0291558.1/font8 2026

(REDLINED) Revised Investment Management Agreement for QDIAs (A0285529x9E0D7) (A0291558).DOC. 12204A0291558.1/font8 Preview on Page 1

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4.4 out of 5

57 votes

The document outlines the ERISA Fiduciary 3(38) Investment Management Agreement between Creative Planning, LLC and the Employer/Plan Sponsor. It details the fiduciary responsibilities of IRON Fiduciary in managing a defined contribution retirement plan, including investment management services, fee structures, and limitations on services. The agreement emphasizes IRON's duty to act solely in the interest of plan participants and beneficiaries while providing various investment-related services such as developing an Investment Policy Statement, selecting designated investment alternatives, and ongoing monitoring. Additionally, it addresses compliance with applicable laws and regulations, including ERISA and the Internal Revenue Code.

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Click ‘Get Form’ to open it in the editor.
Begin by entering the 'Name of Plan' and 'Name of Employer/Plan Sponsor' in the designated fields at the top of the document.
Review Section 1, 'Services', where you will need to check the appropriate boxes indicating which services IRON will provide under this agreement.
In Appendix A, complete all required company and plan information, including Company Name, Plan Type, and contact details.
Proceed to Appendix B to review and confirm the selected investment policy statement (IPS) and designated investment alternatives (DIAs).
Ensure that all necessary signatures are provided at the end of the document, including those from both the Plan Sponsor and IRON representatives.

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Versions	Form popularity	Fillable & printable
2022	4.4 Satisfied (57 Votes)
2017	4.6 Satisfied (50 Votes)

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We have answers to the most popular questions from our customers. If you can't find an answer to your question, please contact us.

Does FINRA regulate private equity firms?

Unless exempt, PE funds may be subject to regulation by the following agencies: Securities and Exchange Commission (SEC) Financial Industry Regulatory Authority (FINRA)

What is the purpose of an investment management agreement?

This investment management agreement sets out the terms and conditions by which a private equity fund appoints an investment manager to provide advisory and management services and agrees to pay fees and out-of-pocket expenses for these services.

Who regulates investment management firms?

Investment advisors managing more than $110 million in assets are regulated by the SEC. FINRA enforces SEC rules and regulations and oversees individual brokers and brokerage firms. Other agencies that regulate asset managers and management firms include the U.S. Treasury, the Federal Reserve, and the FDIC.