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PNN-1238AO.3 Private IRON 3.38 Investment Management AgreementSignature - DRAFT-1.doc

PNN-1238AO.3 Private IRON 3.38 Investment Management AgreementSignature - DRAFT-1.doc 2025

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The document is an ERISA Fiduciary 3(38) Investment Management Agreement between IRON Financial, LLC and a Plan Sponsor. It outlines the terms under which IRON will provide investment management services to a defined contribution retirement plan, acting as a fiduciary under ERISA. The agreement details the responsibilities of both parties, including the development of an Investment Policy Statement, selection and monitoring of designated investment alternatives, and fee structures. It also specifies limitations on services provided by IRON and includes provisions for termination, indemnification, and dispute resolution.

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Who can be a 3 38 investment manager?

3(38): The fiduciary can make investment decisions on the clients behalf. In general, a 3(38) fiduciary must be a registered investment advisor (RIA) under federal or state law, an insurance company, or a bank.

Who can be an investment manager?

To become an Investment Manager, you usually need financial management experience in, for example, accountancy, banking, economics or insurance, and a relevant degree. Some degrees include investment and financial analysis. There are also postgraduate courses in investment and in investment analysis.

What is a 3-38 investment manager?

Professionals in this field generally hold various credentials to prove their expertise in investment management and other aspects of finance, such as being a Certified Financial Planner (CFP), Certified Wealth Strategist (CWS) or Certified Trust and Fiduciary Advisor (CTFA).

What is a 321 investment advisor?

What is a 3(21) advisor? A 3(21) advisor provides advice to the plan sponsor but doesnt make the final decisions regarding the plans investment lineup. A plan sponsor who hires a 3(21) advisor is typically looking for outside investment expertise but wants to retain final discretion over the plan.