Providers

To access this premium content, please sign up for a free account!

Guideline

DC ASSETS
Total DC assets ($MM) $3,551
DC Assets <$5MM90%
In plans with ≤10 participants31%
In plans with >10-50 participants42%
In plans with >50–500 participants 26%
In plans with >500 participants 1%
PLANS
Total DC plans15,465
DC plans <$5MM100%
In plans with ≤10 participants68%
In plans with >10-50 participants28%
In plans with >50-500 participants4%
In plans with >500 participants<1%
% serviced by Third Party Administrator0%
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)1104 plans / person
Average tenure with recordkeeper2.3 years
Average years of experience in retirement3.3 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.

ARCHIVE

Small Plan Services Survey