PARTICIPANT SERVICES
SPONSOR SERVICES
Mega Market
>$1B
Bank of America Merrill Lynch
Fidelity Investments
Hewitt Associates
ING
J.P. Morgan Retirement Plan Svcs
Participant call center
Loan/withdrawal processing
Compliance support/testing
Plan reports/benchmarking
Beneficiary administration
Communication materials
Account team knowledge
Participant fee disclosure
Legislative/reg. updates
Service responsiveness
Participant statements
Enrollment assistance
Sponsor Web site/tools
Form 5500 processing
Plan design flexibility
Web site functionality
Range of investments
Online tools/services
Education program
Fee “cost-to-value”
Staff consistency
Onsite meetings
Retiree services
Total number of responses
1 OneAmerica (AUL) 591
2 ADP Retirement Services 376
3 Ascensus 357
4 CPI Qualified Plan Consultants Inc. 328
5 Great-West Retirement Services 228
6 Principal Financial Group 216
7 Bank of America Merrill Lynch 206
8 ExpertPlan, Inc. 192
8 ING 192
10 The Hartford 188
Percentage of clients using a financial adviser
1 DailyAccess Corp. 94.4%
2 Professional Capital Services (PCS) 92.3%
3 Putnam Investments 90.9%
4 John Hancock Retirement Plan Svcs 90.0%
5 Fidelity Advisor 89.2%
6 CPI Qualified Plan Consultants Inc. 88.7%
7 Newport Group 83.6%
8 The Hartford 83.0%
9 Ascensus 81.3%
10 Nationwide Financial 76.2%
Percentage of clients with 7+ Year Relationships
1 CUNA Mutual Group 90.0%
2 Sun Trust Bank 66.7%
3 VALIC 66.6%
4 Bank of America Merrill Lynch 65.9%
5 Hewitt Associates 63.9%
6 Vanguard 62.2%
7 American Trust 60.4%
8 PNC Institutional Investments 57.8%
9 Fidelity Investments 57.1%
10 Principal Financial Group 55.6%
average client participation rate
1 Steele Capital Management 87.3%
2 American Trust 84.2%
3 Vanguard 82.3%
4 CUNA Mutual Group 80.7%
5 M&I Institutional Trust Services 80.5%
6 T. Rowe Price 80.1%
7 Charles Schwab 78.8%
8 Fidelity Investments 77.3%
9 MassMutual Financial Group 77.1%
10 MBM Advisors 76.9%
Percentage of clients offering participant advice
1 VALIC 96.4%
2 DailyAccess Corp. 94.6%
3 Sun Trust Bank 93.1%
4 CPI Qualified Plan Consultants Inc. 92.6%
5 John Hancock Retirement Plan Svcs 90.2%
6 Fidelity Advisor 89.2%
7 Professional Capital Services (PCS) 88.9%
8 CUNA Mutual Group 86.9%
9 MBM Advisors Inc. 86.4%
10 Nationwide Financial 85.7%
clients “extremely likely to recommend” provider
1 M&I Institutional Trust Services 94.6%
2 Retirement Alliance (RAI) 87.7%
3 MBM Advisors Inc. 87.2%
4 Transamerica Retirement Services 85.9%
5 Ascensus 84.2%
6 Securian Financial Group 82.9%
7 Correll Co. 81.8%
8 American Trust 80.9%
9 Newport Group 80.2%
10 Vanguard 79.5%
TOP 10 PROvIDeRS
