PLANSPONSOR - November/December 2017 - 53

2017 403(b)/457 BUYER'S GUIDE
403(b) Industry Snapshot
Total Assets ($mm)
Plans <$5mm
Plans $5mm-$100mm
Plans >$100mm
Total Plans
Total Participants
403(b) ERISA PLANS
403(b) Non-ERISA PLANS
TOP 5, BY HIGHER EDUCATION PLANS
1 TIAA
2 VALIC
3 Voya Financial
4 Fidelity Investments
5 AXA
Governmental 457 Industry Snapshot
Total Assets ($mm)
Plans <$5mm
Plans >$5mm
Total Plans
$844,913
105,018
11,528
1,250
123,003
14,561,757
27%
73%
4,011
1,446
1,306
925
740
TOP 5, BY ASSETS ($mm)
1 TIAA
2 Fidelity Investments
3 Transamerica
4 VALIC
5 Voya Financial
TOP 5, BY K-12 PLANS
1 Voya Financial
2 VALIC
3 AXA
4 TIAA
5 Fidelity Investments
$382,430
$181,845
$51,948
$51,120
$43,143
14,280
9,282
8,720
5,168
3,807
$297,882
22,242
3,079
26,153
TOP 5, BY 457 ASSETS ($mm)
1 Empower Retirement
2 Nationwide
3 Voya Financial
4 ICMA-RC
5 Prudential Financial, Inc.
For full survey, see PLANSPONSOR.com/research
STATEMENT OF OWNERSHIP, MANAGEMENT AND CIRCULATION
1. Publication Title: PLANSPONSOR
2. Publication number: 013-662
3. Filing date: October 26, 2017
4. Issue frequency: Monthly, with exceptions
5. Number of issues published annually: 8
6. Annual Subscription Price: $229.00
7. Office of Publication: 1055 Washington Blvd., Ste 400,
Stamford, CT 06901; Contact person: Quinn Keeler, telephone
203-595-3270. Mailing address of headquarters or general
business office of publisher: 1055 Washington Blvd., Stamford,
CT 06901
9. Publisher: Michael Garity, 1055 Washington Blvd., Ste 400,
Stamford, CT 06901; Editor: Alison Cooke Mintzer, 1055
Washington Blvd., Ste 400, Stamford, CT 06901; Managing
Editor: Judy Faust Hartnett, 1055 Washington Blvd., Ste 400,
Stamford, CT 06901
10. Owner: Strategic Insight, 1055 Washington Blvd., Ste 400,
Stamford, CT 06901; Genstar Capital, 4 Embarcadero Center,
Suite 1900, San Francisco, CA 94111-4191
11. Known Bondholders, mortgagees and other security holders
owning or holding 1 percent or more of total amount of bonds,
mortgages or other securities: None
12. Tax status has not changed during preceding 12 months
13. Publication Title: PLANSPONSOR
14. Issue date for circulation data below:
September 2017
15. Extent and nature of circulation: average number copies each
issue; number of copies of single issue
a. Total number of copies (net press run): 25,144; 25,806
b. Paid and/or requested circulation:
1) Paid/requested outside-county mail subscriptions stated
on Form 3541: 13,306; 13,226
2) Paid/requested in-county subscriptions stated on Form
3541: 0; 0
3) Other non-USPS paid distribution: 200; 452
4) Other classes mailed through the USPS: 0; 0
c. Total paid and/or requested circulation: 13,506; 13,678
d. Nonrequested distribution
1) Outside-country as stated on Form 3541: 11,327;11,153
2) In-county as stated on Form 3541: 0; 0
3) Other classes mailed through the USPS: 0; 0
4) Nonrequested copies distributed outside USPS: 200; 400
e. Total nonrequested distribution: 11,527; 11,553
f. Total distribution (sum of 15c and 15e): 25,033; 24,231
g. Copies not distributed: 111; 575
h. Total (sum of 15f and 15g): 25,144; 25,806
i. Percent paid and/or requested circulation: 54.0%; 56.4%
16. Electronic Copy Circulation: average number copies each issue;
number of copies of single issue
a. Requested and Paid Electronic Copies: 6,344; 6,257
b. Total Requested and Paid Print Copies (Line 15c) + Requested
/ Paid Electronic Copies: 19,850; 19,935
c. Total Requested Copy Distribution (Line 15f) + Requested /
Paid Electronic Copies: 31,377; 30,488
d. Percent Paid and/or Requested Circulation (Both Print &
Electronic Copies): 63.3%; 65.4%
17. Publication of Statement of Ownership will be printed in the
November/December 2017 issue of this publication.
18. Signature and title of editor, publisher, business manager or
owner: N. Quinn Keeler, SVP, 10/26/2017.
PLANSPONSOR.com November-December 2017 53
$82,929
$71,546
$46,697
$36,567
$21,316
http://www.PLANSPONSOR.com/research http://www.PLANSPONSOR.com
PLANSPONSOR - November/December 2017

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