2014
Recordkeeping Survey

The right recordkeeper for you and your client

Providers

Providers

Principal Financial Group

DC Assets ($MM) $162,328
% OF ASSETS BY CHANNEL
Direct6%
Third-party administrator23%
Traditional institutional consultant21%
Adviser/Broker44%
Other6%
ADVISER TYPES USED
Proprietary or affiliated broker/dealers
Nonaffiliated advisers
Designated firms
FEE STRUCTURES
Upfront commission (front-end load)
Finder's fee
Ongoing trail/commission
RIA fees/Hard-dollar fee
ERISA^ account/budget
SUPPORT SERVICES FOR ADVISERS
Access to ERISA counsel
Provider search resources/tools
DC plan benchmarking
DC plan lead generation
^ERISA = Employee Retirement Income Security Act.