Providers

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Securian Financial

DC ASSETS
Total DC assets ($MM) $20,489
DC Assets <$5MM17%
In plans with ≤10 participants9%
In plans with >10-50 participants12%
In plans with >50–500 participants 37%
In plans with >500 participants 41%
PLANS
Total DC plans2,589
DC plans <$5MM73%
In plans with ≤10 participants10%
In plans with >10-50 participants45%
In plans with >50-500 participants39%
In plans with >500 participants6%
% serviced by Third Party Administrator17%
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)31
Average tenure with recordkeeper10
Average years of experience in retirement22
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