{"url":"https://nivawealth.com/firms/3-38-investment-fiduciaries-298053","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/298053","regulatoryAum":1035072002,"crd":"298053","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4955337","suffix":null,"lastName":"RAMIREZ","firstName":"ADRIAN","middleName":"EDWARD"},{"crd":"5294043","suffix":null,"lastName":"WILKINSON","firstName":"STEVEN","middleName":"T"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-05-03","regulatoryAum":0,"clients":100,"employees":2,"offices":1},{"filedOn":"2022-02-28","regulatoryAum":0,"clients":97,"employees":2,"offices":1},{"filedOn":"2023-02-24","regulatoryAum":0,"clients":123,"employees":2,"offices":2},{"filedOn":"2024-06-04","regulatoryAum":0,"clients":138,"employees":3,"offices":2},{"filedOn":"2025-06-16","regulatoryAum":842588293,"clients":175,"employees":3,"offices":2},{"filedOn":"2026-06-22","regulatoryAum":1035072002,"clients":207,"employees":2,"offices":2}],"secFileNumber":"801-114078","legalName":"3(38) Investment Fiduciaries Inc.","displayName":"3(38) Investment Fiduciaries","slug":"3-38-investment-fiduciaries-298053","website":"https://338if.com/","classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/3-38-investment-fiduciaries/","founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"3355 Cochran Street, Suite 101","city":"Simi Valley","state":"CA","stateName":"California","country":"United States","postalCode":"93063"},"tradeNames":[],"registration":{"secApproved":"1 October 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":1035072002,"discretionary":1035072002,"discretionaryAccounts":207,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pension and profit-sharing plans","clients":207,"regulatoryAum":1035072002}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Empower Financial Services, Inc.","shortName":"Empower","location":"Greenwood Village, CO","smaAssets":996677674}],"custodyNote":"3(38) Investment Fiduciaries does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Steven Wilkinson","title":"President & Chief Compliance Officer","crd":"5294043"}],"ownership":[{"label":"Steven Wilkinson","detail":"President & chief compliance officer in the 75% or more ownership band and a control person, since July 2018. Also trustee of The Wilkinson Family Trust Dated October 26, 2018 and a control person, since October 2018."},{"label":"Fiducion LLC","detail":"Shareholder in the 75% or more ownership band and a control person, since March 2026."},{"label":"The Wilkinson Family Trust Dated October 26, 2018","detail":"Indirect owner: a member of Fiducion LLC in the 75% or more band and a control person, since March 2026.","parent":"Fiducion LLC"},{"label":"Ashley Wilkinson","detail":"Indirect owner: trustee of The Wilkinson Family Trust Dated October 26, 2018 and a control person, since October 2018.","parent":"The Wilkinson Family Trust Dated October 26, 2018"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"3355 Cochran Street, Suite 101","city":"Simi Valley","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"818-296-9529","stateRegisteredReps":2,"otherAdviserReps":2,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Pension consulting services"],"financialPlanningClients":null,"assetMix":[{"label":"Securities issued by registered investment companies or business development companies","percent":40},{"label":"Cash and cash equivalents","percent":20},{"label":"Other","percent":40,"detail":"Cits and Group Annuities"}],"privateFunds":0},"sources":{"adv1FilingDate":"22 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/298053/PDF/298053.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does 3(38) Investment Fiduciaries have?","answer":"3(38) Investment Fiduciaries has 207 clients and manages $1.04 billion for them, as of June 2026. They include 207 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 22 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does 3(38) Investment Fiduciaries offer?","answer":"3(38) Investment Fiduciaries provides pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does 3(38) Investment Fiduciaries use?","answer":"3(38) Investment Fiduciaries’ separately managed account assets are held at Empower Financial Services, Inc. (Greenwood Village, CO), with $997M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 22 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does 3(38) Investment Fiduciaries have?","answer":"3(38) Investment Fiduciaries has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does 3(38) Investment Fiduciaries invest in?","answer":"At the end of its last fiscal year, 3(38) Investment Fiduciaries’ separately managed accounts held 40% registered funds (mutual funds, ETFs, BDCs), 40% other and 20% cash and equivalents. The 40% other category is described as: Cits and Group Annuities.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns 3(38) Investment Fiduciaries?","answer":"3(38) Investment Fiduciaries’ direct owners are Steven Wilkinson (75% or more) and Fiducion LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 22 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does 3(38) Investment Fiduciaries get paid?","answer":"3(38) Investment Fiduciaries is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact 3(38) Investment Fiduciaries?","answer":"3(38) Investment Fiduciaries’ main office is at 3355 Cochran Street, Suite 101, Simi Valley, CA 93063. Its phone number is 818-296-9529. Its website is 338if.com.","source":"Form ADV Part 1A, Item 1.F, filed 22 June 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}