Fiduciary Solutions

We help the retirement plan community achieve their intended investment objectives through our institutional 3(21) and 3(38) Fiduciary Partnership Services, fiduciary technology and reporting, and customized default solutions.

For institutional investors 

Mesirow named 3(38) fiduciary for Everyday 401(k) by J.P.Morgan

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JPMorgan Chase recently announced the launch of Everyday 401(k) by J.P.Morgan, giving the firm's thousands of small business clients and their employees the ability to simply plan, save and invest for retirement. All plans will have a single investment menu that is created and monitored by Mesirow Fiduciary Solutions, which serves as an independent fiduciary under Section 3(38) of the Employee Retirement Income Security Act.

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A dependable outsourced fiduciary pioneer

Our team of experts has delivered a full suite of fiduciary services to recordkeepers, sponsors, advisors and participants through easy-to-understand investment programs since 2006. 

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Explore our solutions

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Fiduciary Partnership Services

We are an industry pioneer in providing fiduciary services for plan sponsors and their advisors.*

ERISA 3(21): “Help Me Do It”
ERISA 3(38): “Do It For Me”

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Fiduciary Technology and Reporting

Through Mesirow Financial FAST®, broker-dealers and other financial intermediaries can rely on our technology and reporting for their in-house fiduciary services.

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Custom target date and target risk

Our custom target date and target risk solutions are designed to meet your glide path needs and can support a wide range of investment types.

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Additional solutions

  • Retirement income product and asset allocation optimization

  • Manager due diligence across funds, collectives and separate accounts

  • Mesirow Financial Precision Retirement® provides participant  managed accounts and digital point-in-time advice

  • Investment mapping for replacement funds or entire plan lineups

  • Stable value/money market due diligence reports and comparison tools

Senior leaders

Michael Annin, CFA

Senior Managing Director | Fiduciary Solutions

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Lavanya Batchu

Senior Vice President | Fiduciary Solutions

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Tayfun Icten

Senior Vice President, Director of Mutual Fund Research | Fiduciary Solutions

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Christopher M. O'Neill,

PhD, CFA, CFP®, FRM®, ChFC®

Managing Director, Chief Investment Officer and Director of Research | Fiduciary Solutions

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Wenli Tan, CFA

Senior Vice President | Fiduciary Solutions

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Interested in learning more?

*The team that comprises Mesirow Fiduciary Solutions was one of two pioneer providers in this space in 2006 and continues to drive innovation through business model products and services.

Neither principal nor the underlying assets of target date investments are guaranteed at any time, including the target date, and investment risk remains at all time. There is no assurance that the recommended asset allocation will either maximize returns or minimize risk or be the appropriate allocation in all circumstances for every investor with a particular time horizon. Advisory services offered by Mesirow Financial Investment Management, Inc., an SEC-Registered Investment Advisor. Securities offered through Mesirow Financial, Inc., member FINRA and SIPC. Advisory Fees are described in Mesirow Financial Investment Management Inc.’s Part 2A of the Form ADV. Mesirow refers to Mesirow Financial Holdings, Inc. and its divisions, subsidiaries and affiliates. The Mesirow name and logo are registered service marks of Mesirow Financial Holdings, Inc.