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principal.com

SOLO 401(k) OVERVIEW
Total Solo 401(k) PLANSNR
Total Solo 401(k) assets (in $millions)NR
Total Solo 401(k) participantsNR
SEP IRA OVERVIEW
Total SEP IRA PLANS4,033
Total SEP IRA assets (in $millions)$548MM
Total SEP IRA accounts8,243
SEP IRA PLAN DOCUMENT TYPES ACCEPTED
IRS form 5305 (with designated firm)NR
Prototype document (either yours or the IRA custodian's)NR
Other (please specify):NR
SEP IRA PLANS BY PARTICIPANT COUNT
<5 participants97%
5 - 10 participants2%
>10 participants1%
SIMPLE IRA OVERVIEW
Total SIMPLE IRA PLANS6,957
Total SIMPLE IRA assets (in $millions)$1.2B
Total SIMPLE IRA accounts36,499
SIMPLE IRA PLAN DOCUMENT TYPES ACCEPTED
IRS form 5304Yes
IRS form 5305 (with designated firm)No
Prototype document (either yours or the IRA custodian's)No
Other (please specify):No
SIMPLE IRA PLANS BY PARTICIPANT COUNT
<5 participants68%
5 - 10 participants20%
>10 participants12%
AVAILABLE INVESTMENT OPTIONS
Proprietary or affiliated mutual fundsYes
Other non-proprietary or affiliated mutual funds (via a fund clearing house)No
Proprietary or affiliated ETFsNo
Other non-proprietary or affiliated ETFs (via a clearing house)No
Individual shares of domestic stock/securitiesNo
Individual shares of international stock/securitiesNo
Individual Bonds or Certificates of Deposit (outside of mutual funds)No
OtherNo
ACCOUNT FEES
Plan setup feeNo
Annual (or other periodic) plan administrative / processing feeNo
Custodial account fee or other periodic individual account charge (annual, monthly etc)Yes
Asset based partcipant fees (other than fund operating expenses)No
Commissions, Trading, or execution fees (individual account level)Yes
NR = Not Reported | N/A = Not Applicable
Investment options and fees may vary by product. Contact provider for more information.

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