LESS THAN $5mm
1 John Hancock Retirement Plan Services
2 ADP Retirement Services
3 American Funds Distributors
$5mm-$50mm
1 Newport Group
2 ADP Retirement Services
3 Fidelity Investments
$50mm-$200mm
1 Newport Group
2 New York Life Retirement Plan Services
3 Diversified Investment Advisors
3 Fidelity Investments
3 T. Rowe Price
morE THAN $200mm
1 Fidelity Investments
2 Newport Group
3 Charles Schwab
3 New York Life Retirement Plan Services
18.1%
13.8%
8.5%
16.4%
9.6%
8.2%
21.4%
9.2%
9.2%
BEST AdviSEr SALES/mArkETiNg Suppor T
1 Newport Group
2 ADP Retirement Services
3 MassMutual Financial Group
BEST AdviSEr Suppor T poST-SALE
1 Newport Group
2 American Funds Distributors
3 MassMutual Financial Group
BEST fEE STruc TurE for AdviSErS
1 Newport Group
2 John Hancock Retirement Plan Services
3 American Funds Distributors
3 Ascensus
3 DailyAccess Corp.
3 Great-West Retirement Services
3 M&I Institutional Trust Services
18.7%
8.0%
8.0%
16.9%
10.2%
8.5%
8.5%
8.5%
16.2%
13.5%
10.8%
10.8%
20.3%
13.6%
5.1%
5.1%
5.1%
5.1%
5.1%
pErcEp TioN of rEcordkEEpEr
ADP Retirement Services
American Funds Distributors
Ascensus
Bank of America Merrill Lynch
Charles Schwab
DailyAccess Corp.
Diversified Investment Advisors
Fidelity Investments
Great-West Retirement Services
ING
John Hancock Retirement Plan Services
Lincoln Financial Group
MassMutual Financial Group
Nationwide Financial
New York Life Retirement Plan
Newport Group
Paychex
Principal Financial Group
Prudential Retirement Services
The Hartford
Transamerica Retirement Services
QuALifiEd
rESpoNdENTS
82
63
53
52
56
42
55
80
55
63
74
45
52
43
41
66
57
76
50
65
46
z vEry
fAvor ABLE
25.6%
41.3%
28.3%
15.4%
30.4%
40.5%
36.4%
28.8%
18.2%
19.0%
32.4%
8.9%
25.0%
16.3%
36.6%
60.6%
7.0%
15.8%
30.0%
23.1%
21.8%
z SomEwHAT
fAvorABLE
31.7%
52.4%
41.5%
5.8%
39.3%
52.4%
43.6%
43.8%
47.3%
30.2%
40.5%
31.1%
40.4%
25.6%
36.6%
31.8%
36.8%
39.5%
32.0%
38.5%
39.1%
z No T
fAvorABLE
42.7%
6.3%
30.2%
78.8%
30.4%
7.1%
20.0%
27.5%
34.5%
50.8%
27.0%
60.0%
34.6%
58.1%
26.8%
7.6%
56.1%
44.7%
38.0%
38.5%
39.1%
