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Responding To The Changing 401(K) Plan Landscape

Shelton Capital announces key additions to its retirement plan offering

Shelton Capital Management announced today two significant enhancements to its retirement plan services. First, in response to the demand from plan sponsors to add fiduciary oversight on their 401(k) plans, Shelton Capital Management now offers what is commonly referred to as 3(38) investment advisory services. By selecting 3(38) services, the plan sponsor is electing to have Shelton Capital Management act as a discretionary manager for the plan’s investments.  

Secondly, the firm has hired Ann Margaret Williams to manage its 401(k) Retirement Plan Services. Williams has over 15 years of experience on Wall Street with such firms as Oppenheimer & Company, UBS Securities and RBC Capital Markets, and she has been a successful independent business owner for over 10 years. “Ann Margaret is intimately familiar with the demands of running a small business and that is an important aspect of her value add,” says Dennis Clark, Shelton Capital Management’s Managing Director. 

Williams earned a master’s degree from the London School of Economics and Political Science and holds a Bachelor of Science degree in Business Administration from Villanova University.

Shelton Capital Management CEO Steve Rogers observes that “small and mid-sized companies have an important role in our economy and in the lives of their employees.  Providing a retirement plan solution that is in compliance with ERISA regulations, easy to administer and valued by employees is a crucial ask of the retirement plan market and we are responding to that need.”

About Shelton Capital Management 

Shelton Capital Management is a multi-strategy asset manager that delivers sophisticated investment solutions. Founded in 1985, Shelton Capital Management has maintained consistent investment principles and a steadfast focus on authentic customer service. With offices in San Francisco, Denver and Greenwich, CT, Shelton Capital Management manages over $2 billion of assets as of 3/26/18. For additional information, please visit us at https://www.sheltoncap.com/ or call (800) 955-9988.#

Authors

  • Josh Fudge joined Shelton Capital Management in 2019.  He is a member of the Advisory Services Team with a focused responsibility on sales and marketing initiatives.

    Prior to joining Shelton Capital Management, Josh held various roles in the investment industry most recently with RBC Wealth Management where he was responsible for investment analysis and client growth. The majority of Josh’s career has been focused on sales and distribution as a Director with WHV Investments, a VP at SteelPath/OppenheimerFunds, and various positions at Janus Capital Group. Away from work he enjoys skiing, hiking, and spending time outdoors with his wife, three children, and their dog Bailey.

    Josh is a graduate of Miami University (Oxford, OH).

  • Steve Rogers is the Chief Executive Officer and Portfolio Manager at Shelton Capital Management. Steve has over 30 years of experience and joined Shelton Capital in 1993. He earned an MBA from the University of California, Berkeley and a B.A. from the University of Iowa.

     

  • Dennis Clark

    Dennis Clark joined the firm in January 2011 and is responsible for developing sales, marketing,  and strategy initiatives. Dennis had a long career as a senior executive at Charles Schwab and for the prior ten years as president of Advisor Partners. Dennis earned a B.S. in Finance from the University of Oregon.

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The information contained in this section of Shelton Capital Management’s website is intended for use by Institutional Investors in the United States only. It is not intended for use by non-U.S. entities or retail investors. "Institutional Investor" means any:

  • person described in FINRA Rule 4512(c), regardless of whether that person has an account with a FINRA member, includes;
  • a bank, savings and loan association, insurance company or registered investment company;
  • an investment adviser registered either with the SEC under Section 203 of the Investment Advisers Act or with a state securities commission (or any agency or office performing like functions) or;
  • any other person (whether a natural person, corporation, partnership, trust or otherwise) with total assets of at least $50 million;
  • governmental entity or subdivision thereof; employee benefit plan that meets the requirements of Section 403(b) or Section 457 of the Internal Revenue Code and has at least 100 participants, but does not include any participant of such a plan;
  • qualified plan, as defined in Section 3(a)(12)(C) of the Act, that has at least 100 participants, but does not include any participant of such a plan; FINRA member or registered associated person of such a member; and, person acting solely on behalf of any institutional investor.

By closing this window and entering the website, you expressly acknowledge that you have checked and confirmed that you are accessing this site from the United States for purposes of acquiring information as an Institutional Investor as defined above.

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The information contained in this section of Shelton Capital Management’s website is intended for use by Institutional Investors in the United States only. It is not intended for use by non-U.S. entities or retail investors. "Institutional Investor" means any:

  • person described in FINRA Rule 4512(c), regardless of whether that person has an account with a FINRA member, includes;
  • a bank, savings and loan association, insurance company or registered investment company;
  • an investment adviser registered either with the SEC under Section 203 of the Investment Advisers Act or with a state securities commission (or any agency or office performing like functions) or;
  • any other person (whether a natural person, corporation, partnership, trust or otherwise) with total assets of at least $50 million;
  • governmental entity or subdivision thereof; employee benefit plan that meets the requirements of Section 403(b) or Section 457 of the Internal Revenue Code and has at least 100 participants, but does not include any participant of such a plan;
  • qualified plan, as defined in Section 3(a)(12)(C) of the Act, that has at least 100 participants, but does not include any participant of such a plan; FINRA member or registered associated person of such a member; and, person acting solely on behalf of any institutional investor.

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