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DC Participant Planscape

Maximize participant contribution & engagement, leverage cross-sell opportunities and attract rollover dollars

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The report will enable subscribers to:

Uncover the features, offerings and retirement tools participants want from providers to maximize satisfaction and retain assets

Develop successful cross-sell programs and validate participants’ desire for additional contact from plan providers

Identify the factors participants consider when selecting a rollover IRA provider to keep current plan assets in-house and attract new rollover dollars



  • 4,600 DC plan participants actively contributing to a DC plan and/or haveing at least $5,000 in a former employer’s DC plan
  • Web-based survey
  • Statistically representative sampling using US census data to mirror the engaged participant universe by gender, region, age, education and household income


Subscription Details

Survey fielded: May 2019
Publication: July 2019
On-site strategy session: Starting August 2019


  • Detailed report including a summary of findings and strategic implications
  • On-site strategy session and presentation designed to deliver actionable results and facilitate strategic planning
  • Custom data cuts and survey work by senior analysts

Investment: $35,000


Areas of Inquiry

Plan Provider Satisfaction and Loyalty

  • Satisfaction with provider relationship across key attributes
  • Drivers of satisfaction
  • Current and desired contact
  • Advice and guidance needs for retirement planning
  • Loyalty to current plan provider

Participant Contribution Behavior

  • Time contributing to an ESRP
  • Use of automatic plan features
  • Likelihood to increase contribution
  • Ready-to-act participant segment: Likelihood to increase contribution and change how plan assets are invested
  • Reasons for increasing and decreasing contribution

Participant Personal Finance and Investing Behavior

  • Confidence in current financial situation
  • Appeal, use and barriers to use of financial wellness components
  • Use of financial advisor, investment representative
  • Likelihood to leave assets with former plan provider
  • Products and accounts most commonly used for retirement

In-retirement Income Needs (New to 2019!)

  • Confidence in generating income in retirement via specific products vs. investment strategies
  • Interest in and barriers to owning in-retirement income products
  • Top retirement income goals
  • Willingness to give up control of investment principal for guaranteed income payments
  • Interest in purchasing an annuity inside ESRP

Cross-sell/rollover Opportunities

  • Most effective communication method
  • Awareness of the full range of provider products and services
  • Drivers of consideration of products and services outside the plan
  • Perception of retirement planning services and solutions of top firms
  • Consideration of top providers for rollover IRAs and taxable brokerage accounts
Percentage of AUM in DC plans
• Percentage of compensation from DC plans
• Number and size of plans managed
Services provided to DC plan sponsors and participants
• Impact of fee disclosure regulations
• Number of plan providers typically recommended
• Number and type of investment options typically recommended
• QDIA option used most often
• Target date fund recommendation
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DC Participant Planscape