Timely, relevant, and actionable investment perspective, best practices, and planning insights for institutional and wealth management clients from CAPTRUST's Consulting Research Group.

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The Surprising Benefits of a 3(38) Fiduciary


Investment advisors have long assumed the role of 3(38) investment manager for pension plans. But increasingly, these services are being extended to defined contribution plans too. Time savings, risk transfer, and an interest in creating better outcomes are among the factors driving defined contribution plan demand for 3(38) investment managers.

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Mixing Up the Puzzle Pieces


This DOL’s redefinition of who is an ERISA fiduciary is the farthest-reaching piece of retirement regulation promulgated in more than 40 years. The fiduciary rule will result in more parties labeled as fiduciaries, more actions qualifying as fiduciary activities, and more investors benefiting from ERISA’s protections. Although we don’t know how all the details will shake out, we do want to share what we know at this point.

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Private Foundation Governance


The Uniform Prudent Management of Institutional Funds Act suggests that charitable organizations must find an appropriate balance between investment returns and spending to fulfill their charitable intent. With board and committee membership in constant rotation and limited resources, how do you balance spending with the need for long-term sustainability of assets to support a philanthropic mission? One word sums up this question’s answer: Governance.

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Is This the Beginning or the End?


Is the U.S. business cycle primed to continue with the tailwinds of new policy and a stabilizing global economy powering it higher? Or will new geopolitical and policy risks finish it off? While the world seems more uncertain than ever, this year’s predictions highlight three areas we’ll be watching that should give us some answers.

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Conducting an Effective Advisor RFP Process


Retirement plan advisors can help plan sponsors by assisting with plan design, participant engagement, investment, fiduciary process, and vendor management issues related to overseeing a retirement plan. Finding the right advisor can be made easier by following a process that includes a comprehensive advisor RFP.

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Fiduciary Update | February 2017


In this quarter’s Fiduciary Update, CAPTRUST’s Drew McCorkle provides an update on uncertainty around implementation of the Department of Labor’s conflict of interest rule, addresses the latest in fee and related plan litigation, and reports on topics including cybersecurity, lifetime income, and plan sponsor responsibilities for proxy voting.

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Fiduciary Update | November 2016


In this quarter’s Fiduciary Update, CAPTRUST’s Drew McCorkle highlights several important court cases with best practice implications for retirement plan sponsors, including a deeper dive into the importance of the recent decision in White v. Chevron, continued coverage of new fee litigation, and an assortment of legal and regulatory news releases.

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Fiduciary Update | August 2016


In this quarter's Fiduciary Update, CAPTRUST's Drew McCorkle highlights several important court cases with best practice implications for retirement plan sponsors and takes a deeper look at the DOL's fiduciary rule, recent fee litigation cases, and an assortment of legal and regulatory news releases.

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Fiduciary Rule Delayed—but Not as Long as Expected


The Department of Labor (DOL) has announced a 60-day delay of the applicability date for its conflict of interest rule and the accompanying exemptions. The purpose of the delay is to allow the DOL to comply with the presidential memorandum dated February 3, 2017.

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Historic Brexit Vote


Heading into this vote, the consensus from financial markets, political analysts, and economists was that voters would opt to stay in the European Union, but a different outcome ensued. In this edition of Market Thoughts, CAPTRUST CIO Eric Freedman discusses this development’s implications for investors and the likely capital market response.

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To Terminate or Not to Terminate


Is now the right time to de-risk our pension plan? To terminate or not to terminate? What do I do now? The burgeoning level of pension risk transfer (PRT) activity for traditional defined benefit plans demonstrates that plan sponsors have been grappling with plan termination questions with increased frequency over the past several years.

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Capital Market Recalibration


Capital markets have had an inauspicious start to 2016. Investor concerns about China, the energy market, corporate profits, and the path toward growth have resulted in widespread selling. In this Market Thoughts, we recap some of the recent trends and provide our thoughts on what we think it will take for markets to calm.

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The Inelegant Narrative


Today's capital markets reflect bond yields at all-time lows, stagnant or falling earnings, and at least one major market in a lengthy bull market with few pullbacks along the way. In other words, not the best setup for investors already frustrated by low returns over the past three years. CAPTRUST Chief Investment Officer Eric Freedman provides his current perspective on this inelegant truth.

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