Providers

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CUNA Mutual Group

DC ASSETS
Total DC assets ($MM) $15,970
DC Assets <$5MM35%
In plans with ≤10 participants6%
In plans with >10-50 participants29%
In plans with >50–500 participants 53%
In plans with >500 participants 11%
PLANS
Total DC plans7,079
DC plans <$5MM89%
In plans with ≤10 participants50%
In plans with >10-50 participants35%
In plans with >50-500 participants14%
In plans with >500 participants1%
% serviced by Third Party Administrator7%
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)60 plans
Average tenure with recordkeeper5 years
Average years of experience in retirement18 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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Small Plan Services Survey