Providers

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Fidelity Investments

DC ASSETS
Total DC assets ($MM) $2,896,282
DC Assets <$5MM1%
In plans with ≤10 participants1%
In plans with >10-50 participants1%
In plans with >50–500 participants 7%
In plans with >500 participants 91%
PLANS
Total DC plans33,945
DC plans <$5MM49%
In plans with ≤10 participants23%
In plans with >10-50 participants28%
In plans with >50-500 participants35%
In plans with >500 participants14%
% serviced by Third Party Administrator15%
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)
Average tenure with recordkeeper
Average years of experience in retirement
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