RESEARCH |

2021
PLANADVISER Small-Plan Services Survey

Reported by PLANADVISER | Art by Katherine Streeter
Providers
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PAi Retirement Services - A Newport Company

pai.com

SOLO 401(k) OVERVIEW
Total Solo 401(k) PLANS6,804
Total Solo 401(k) assets (in $millions)$944MM
Total Solo 401(k) participants7,189
SEP IRA OVERVIEW
Total SEP IRA PLANSN/A
Total SEP IRA assets (in $millions)N/A
Total SEP IRA accountsN/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 participantsN/A
5 - 10 participantsN/A
>10 participantsN/A
SIMPLE IRA OVERVIEW
Total SIMPLE IRA PLANSN/A
Total SIMPLE IRA assets (in $millions)N/A
Total SIMPLE IRA accountsN/A
SIMPLE IRA PLAN DOCUMENT TYPES ACCEPTED
IRS form 5304N/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 participantsN/A
5 - 10 participantsN/A
>10 participantsN/A
AVAILABLE INVESTMENT OPTIONS
Proprietary or affiliated mutual fundsNo
Other non-proprietary or affiliated mutual funds (via a fund clearing house)Yes
Proprietary or affiliated ETFsNo
Other non-proprietary or affiliated ETFs (via a clearing house)Yes
Individual shares of domestic stock/securitiesN/A
Individual shares of international stock/securitiesN/A
Individual Bonds or Certificates of Deposit (outside of mutual funds)No
OtherYes*
ACCOUNT FEES
Plan setup feeYes
Annual (or other periodic) plan administrative / processing feeYes
Custodial account fee or other periodic individual account charge (annual, monthly etc)Yes
Asset based partcipant fees (other than fund operating expenses)Varies
Commissions, Trading, or execution fees (individual account level)Varies
NR = Not Reported | N/A = Not Applicable
Investment options and fees may vary by product. Contact provider for more information.