Research & Reports

Redefining the DC Gatekeeper

2/21/2013

This edition of the DC Research Suite details the drivers of change and search activity for DC investment managers and plan providers. Gatekeeper services that will significantly alter DC investment product distribution are analyzed: provision of custom funds, investment education, and fiduciary services.

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DC Research Roundup

2/6/2013

Highlights from SI's DC research released in 2012, also featured in the February 2013 edition of Windows Into the Mutual Fund Industry.

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Recordkeeper Segmentation

12/21/2012

This report segments recordkeepers by core business, plan size and plan type based on six years of historical PLANSPONSOR Recordkeeping Survey data. In addition to segmentation, technologies and consolidation are analyzed. Detail on growth rates by plan segment, market share by plan type, and adviser compensation approaches is provided.

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Investment Option Analysis: Adviser-Sold Plans

9/18/2012

This edition of the DC Research Suite reviews fiduciary obligations regarding plan administration. An introduction to Pathfinder 2.0 is provided, as its initial 2012 database of mutual funds proposed in recordkeeping bids represents the universe upon which our investment option analysis is based. The investment option analysis is driven by Simfund MF and highlights strategy, performance, and fees.

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DC Market Sizing & Outlook 2012

6/29/2012

Key questions answered include: What share of the DC market do mutual funds and collectives represent, and how will that change by 2017? What is the outlook for target date, target risk, and index funds within DC? What are the most common share classes used in DCIO by assets? What are the average distribution fees (12b-1 and revenue share/sub-TA) for each plan segment? What do DCIO managers consider to be their biggest opportunities and challenges?

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Addressing the Large Plan Markets

4/11/2012

Key questions answered include: What is the institutional perspective on revenue sharing in DC plans, and how does that impact vehicle usage? What fund share classes are used in institutional DC and what percent of assets is held directly by institutional investors versus by funds-of-funds? What are the considerations for institutional DC-oriented product development (including mutual funds, collective funds, and unitized custom products)? Who are the top consultants and recordkeepers for institutional DC clients and what are best practices for supporting these gatekeepers?

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DC Market Review

12/2/2011

Key questions answered include: How is the defined contribution market segmented and how does that impact plan sponsor relationships? Which plan segment has the most assets? How strong is the plan sponsor’s relationship with their recordkeeper? How often do plan sponsors evaluate recordkeepers and what does that mean for DC investment option assets? Who do plan sponsors consider to be their main source of insight for investment monitoring?

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1Q2013 Lifecycle Quarterly

5/11/2013

Quarterly update on market metrics, strategy changes and product development. Topical article focuses on interest rate risk in target date funds.

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1Q2013 Lifecycle MF Quantitative

4/16/2013

Detailed breakdowns of target date and target risk assets and flows as of 1Q2013.

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4Q12 Lifecycle Quarterly

3/7/2013

Quarterly update on market metrics, strategy changes and product development. Topical article focuses on four pieces of target date thought leadership released since 2012 by ING, Legg Mason, JPMorgan and the Center for Retirement Research.

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3Q12 Lifecycle Qualitative

9/30/2012

Quarterly update on market metrics, strategy changes and product development. Topical articles focus on open architecture in target date funds and comprehensive target date market sizing.

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2Q12 Lifecycle Qualitative

6/30/2012

Quarterly update on market metrics, strategy changes and product development. Topical articles focus on target date fund closures and securities concentration and diversification of target date funds.

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1Q12 Lifecycle Qualitative

3/31/2012

Quarterly update on market metrics, strategy changes and product development. Topical article focuses on the SEC's proposal for target date disclosure.

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4Q11 Lifecycle Qualitative

12/31/2011

Quarterly update on market metrics, strategy changes and product development. Topical articles focus on underlying fund classes in target dates and QDIA opportunities.

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3Q11 Lifecycle Qualitative

9/30/2011

Quarterly update on market metrics, strategy changes and product development. Topical articles focus on volatility management in target dates and glidepath descriptions.

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Trends in Target-Date Portfolios on Recordkeeping Platforms

8/5/2011

Analysis of BrightScope data provides insight into recordkeeping platforms' distribution of target date strategies.

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Rethinking Lifecycle Funds

5/17/2010

An in-depth study on lifecycle funds, offering strategic recommendations for lifecycle and non-lifecycle managers, supported by straightforward qualitative assessments and quantitative data.

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5/11/2013: 1Q2013 Lifecycle Quarterly

4/16/2013: 1Q2013 Lifecycle MF Quantitative

3/7/2013: 4Q12 Lifecycle Quarterly

2/21/2013: Redefining the DC Gatekeeper

2/6/2013: DC Research Roundup

12/21/2012: Recordkeeper Segmentation

9/30/2012: 3Q12 Lifecycle Qualitative

9/18/2012: Investment Option Analysis: Adviser-Sold Plans

6/30/2012: 2Q12 Lifecycle Qualitative

6/29/2012: DC Market Sizing & Outlook 2012

4/11/2012: Addressing the Large Plan Markets

3/31/2012: 1Q12 Lifecycle Qualitative

12/31/2011: 4Q11 Lifecycle Qualitative

12/2/2011: DC Market Review

9/30/2011: 3Q11 Lifecycle Qualitative

8/5/2011: Trends in Target-Date Portfolios on Recordkeeping Platforms

5/17/2010: Rethinking Lifecycle Funds