Institutions

King Wagle Financial Consulting Group specializes in working with corporate and institutional clients who require an expert advisor to assist them in fulfilling their fiduciary duties.  Our team is guided by core principles that include acting in the best interest of our institutional clients, providing objective investment recommendations tailored to each organization’s needs and maintaining the highest levels of ethical and professional standards.  Importantly, our commitment and expertise in this space is recognized by Wells Fargo Advisors and thus our team is able to serve clients as a 3(21) INVESTMENT ADVISOR* and offer a number of services to our institutional customers.

We provide institutional consulting services to clients including:

  • Defined Contribution Plans (401(k), 403(b), 457, Profit Sharing)
  • Defined Benefit Plans
  • Endowments
  • Foundations
  • Municipalities
  • Hospitals

Services provided include:

  • Investment Policy Statement
  • Manager Search & Recommendation
  • Service Provider Search and Review
  • Plan Fees and Service Benchmarking
  • Asset Allocation Study
  • Diversification Review
  • Performance Monitoring
  • Participant Education
  • Board/Committee Services and Education

 

* Investment advisor — For the purpose of this publication, an investment advisor is a person as defined under ERISA section 3(21) who may: – Provide investment advice to participants or other fiduciaries in connection with plan assets. – Serve in an advisory capacity only (leaving final decisions to another fiduciary). “Advisory” fiduciaries are sometimes known as “limited scope” fiduciaries, or more commonly referred to as someone who provides investment recommendations. In either case, the employer still decides to accept or decline the recommendation provided by the hired investment advisor and is still a fiduciary. An agreement is typically executed between the employer and the 3(21) fiduciary

CAR-1017-01564