Qualified Plan Advisory

QUALIFIED PLAN ADVISORY, LLC is an SEC-registered investment adviser in SANTA ANA, CA. The firm manages $105 million in regulatory assets, $11 million on a...

Qualified Plan Advisory

QUALIFIED PLAN ADVISORY, LLC is an SEC-registered investment adviser in SANTA ANA, CA. The firm manages $105 million in regulatory assets, $11 million on a discretionary basis. It has 1 employee and 1 investment adviser.

General information

Firm type

Asset Manager

Location

Region

North America

What does it mean when Qualified Plan Advisory acts as a 3(38) fiduciary?

Under Section 3(38) of ERISA, QPA accepts full discretionary authority and responsibility for selecting, monitoring, and replacing the plan's investment options. The plan sponsor transfers liability for investment decisions to QPA. This is distinct from a 3(21) arrangement, where QPA makes recommendations but the plan sponsor retains final decision-making authority and the associated fiduciary risk.

Does Qualified Plan Advisory also manage participant-level wealth or outside brokerage accounts?

There is no indication that the firm provides participant-level advisory services, retail brokerage, or individual portfolio management. Its model targets the plan sponsor and the plan committee as the client, focusing on plan-level governance, investment menu construction, and provider oversight, which keeps its fiduciary perimeter aligned with the plan rather than individual participant accounts.

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