RESEARCH | July 30, 2021

2021
PLANADVISER Small-Plan Services Survey

Reported by PLANADVISER | Art by Katherine Streeter

Providers

SOLO 401(k) OVERVIEW
Total Solo 401(k) PLANS	286
Total Solo 401(k) assets (in $millions)	$71.5MM
Total Solo 401(k) participants	326

SEP IRA OVERVIEW
Total SEP IRA PLANS	N/A
Total SEP IRA assets (in $millions)	N/A
Total SEP IRA accounts	N/A

SEP IRA PLAN DOCUMENT TYPES ACCEPTED
IRS form 5305 (with designated firm)	N/A
Prototype document (either yours or the IRA custodian's)	N/A
Other (please specify):	N/A

SEP IRA PLANS BY PARTICIPANT COUNT
<5 participants	N/A
5 - 10 participants	N/A
>10 participants	N/A

SIMPLE IRA OVERVIEW
Total SIMPLE IRA PLANS	N/A
Total SIMPLE IRA assets (in $millions)	N/A
Total SIMPLE IRA accounts	N/A

SIMPLE IRA PLAN DOCUMENT TYPES ACCEPTED
IRS form 5304	N/A
IRS form 5305 (with designated firm)	N/A
Prototype document (either yours or the IRA custodian's)	N/A
Other (please specify):	N/A

SIMPLE IRA PLANS BY PARTICIPANT COUNT
<5 participants	N/A
5 - 10 participants	N/A
>10 participants	N/A

AVAILABLE INVESTMENT OPTIONS
Proprietary or affiliated mutual funds	NR^*
Other non-proprietary or affiliated mutual funds (via a fund clearing house)	NR^*
Proprietary or affiliated ETFs	NR^*
Other non-proprietary or affiliated ETFs (via a clearing house)	NR^*
Individual shares of domestic stock/securities	NR^*
Individual shares of international stock/securities	NR^*
Individual Bonds or Certificates of Deposit (outside of mutual funds)	NR^*
Other	NR^*

ACCOUNT FEES
Plan setup fee	No^#
Annual (or other periodic) plan administrative / processing fee	No
Custodial account fee or other periodic individual account charge (annual, monthly etc)	No
Asset based partcipant fees (other than fund operating expenses)	No
Commissions, Trading, or execution fees (individual account level)	No

NR = Not Reported | N/A = Not Applicable

Investment options and fees may vary by product. Contact provider for more information.

^*Visit getretirementright.com/products-services/investments for additional information on Mutual of Omaha's investment lineup options

^#One-time set up fee may apply when no rollover assets are present.