PEPs & 3(16) Fiduciary Services: Risks, Tradeoffs and Considerations

Pooled Employer Plans (PEPs) and 3(16) fiduciary services are becoming more common in the retirement plan market—but they are often misunderstood.

For financial advisors, recommending or not recommending these structures carries real implications for client outcomes, fiduciary risk, and your role as a trusted expert.

This in-person Lunch & Learn is designed to provide a clear, practical overview of the risks, tradeoffs, and opportunities associated with PEPs and 3(16) fiduciary services—without sales pitches or hype.

• When PEPs may be a good fit—and when they can create unintended problems
• What 3(16) fiduciary services actually cover, and where responsibility still remains
• Common misconceptions that expose plan sponsors to hidden risk
• How advisors can position themselves as trusted guides in these conversations

Come for the insights, stay for the networking and food. We’ll wrap up the session with a casual lunch and time to connect with your peers.

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Jason Douthit is an ERISA lawyer representing employers, TPAs, and other services providers. His practice is focused on retirement, employee benefit, and nonqualified deferred compensation plans. Jason is a graduate of the University of California Davis School of Law and San Francisco State University, and a member of the Oregon State Bar.

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