Providers

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The Standard

DC ASSETS
DC assets ($MM) $23,083
In plans with ≤ 50 participants 16%
In plans with >50–500 participants 54%
In plans with >500 participants 30%
PLANS
Total DC plans2,899
% serviced by Third Party Administrator12%
FEE STRUCTURES
Upfront commission (front-end load)
Finder's fee
Ongoing trail/commission
RIA fees/Hard-dollar fees
ERISA account/budget
SUPPORT SERVICES FOR ADVISERS
DC plan benchmarking
Access to ERISA counsel
Offers CE-eligible DC-specific training
Supports Advisor Managed Accounts
RELATIONSHIP MANAGEMENT (RM) TEAMS
Average case/client load (# plans/person)50-150
Average tenure with recordkeeper8-10 years
Average years of experience in retirement8-10 years
Dedicated RMs for NQDC plans only?
Dedicated RMs for 403(b) plans only?
Dedicated RMs for 457 plans only?
Advisers given choice of RMs to support clients
NR = Not Reported. NA = Not Applicable.
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Recordkeeping Survey

Thorough Analysis: Recordkeepers' consistent evolution has led them to offer a wide range of investments, technology and servicing options today.