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) for Paychex Pooled Employer Plan (PEP)

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Paychex announced the launch of a Pooled Employer Plan to help businesses nationwide provide a cost-effective retirement plan option for their employees. Mesirow Fiduciary Solutions serves as the 3(38) investment fiduciary.

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

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JPMorgan Chase 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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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

  • Investment mapping for replacement funds or entire plan lineups

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

Senior leaders

Michael Annin, CFA

President | Fiduciary Solutions

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Lavanya Batchu

Managing Director | Fiduciary Solutions

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David B. Cohen

Managing Director | Fiduciary Solutions

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Keith Gustafson, CFA

Managing Director of Asset Allocation and Retirement Income | Fiduciary Solutions

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Rafique Khan

Managing Director | Fiduciary Solutions

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Christopher M. O'Neill, PhD, CFA, CFP®, FRM®, ChFC®

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

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Wenli Tan, CFA

Managing Director | Fiduciary Solutions

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Vincent Vicidomini

Managing Director | Fiduciary Solutions

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*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.