Providers

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Principal Financial Group

DC ASSETS
Total DC assets ($MM) $451,363
DC Assets <$5MM9%
In plans with ≤10 participants2%
In plans with >10-50 participants7%
In plans with >50–500 participants 24%
In plans with >500 participants 67%
PLANS
Total DC plans44,381
DC plans <$5MM79%
In plans with ≤10 participants32%
In plans with >10-50 participants38%
In plans with >50-500 participants24%
In plans with >500 participants6%
% serviced by Third Party Administrator38%
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)30
Average tenure with recordkeepervaries per market segment
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