annual Recordkeeping Survey questionnaire was distributed to known providers of
full-service and unbundled recordkeeping for both qualified and nonqualified
defined contribution plans. A total of 75 responses were received prior to the
survey deadline in May. All survey data reported on the pages that follow are
as of December 31, 2013; comparable data from the prior year are as of December
The survey questionnaire
was designed to gather a wide range of information/data pertaining to each
provider’s experience, service and capabilities. The information from the
survey is self-reported; all statements related to product/service offerings
available to defined contribution plan sponsors were supplied by each provider
and subject to PLANSPONSOR’s internal quality assurance reviews where possible.
Readers are strongly encouraged to follow up with providers directly for
additional detail on the scope of services available.
Providers are listed
in alphabetical order. “Asset rank” indicates the provider’s overall placement
by total recordkeeping assets under administration (AUA). Information included
in each profile represents a snapshot based on some of the factors to consider
when selecting a recordkeeping partner.
following tables provide a wealth of information, they contain only a small
portion of each provider’s answers to the survey. To purchase an Excel
spreadsheet that contains the full dataset of responses from all 75 providers
(cost $4,000), please contact Michelle Judkins at
firstname.lastname@example.org. To learn how to participate in our 2015
Recordkeeping Survey, please contact Brian O’Keefe at
Provider Listing Key
- Calculations of assets per participant and participants per plan are
- Fiduciary services may include discretionary trustee services as well as
separate service offerings.
- Plan counts by plan type exclude money purchase, simplified employee pension
(SEP) individual retirement account (IRA), savings incentive match plan for
employees (SIMPLE) IRA and other select plan types, and will not always match
overall plan counts.
- In some cases, unfunded nonqualified deferred compensation (NQDC) liabilities
are reported as “assets.”
- Managed account vendors offer professional management of participant accounts.
- NR = not reported by the provider; NA = not applicable to the provider.