Principal Ease 401(k) Plan
Sponsored by Principal Life Insurance Company · EIN 420127290 · Plan #334
- Total assets
- $651M
- Net assets
- $651M
- Active participants
- 161,040
- With balances
- 27,194
Plan year beginning 01/01/2024 · 401(k)
Linked investment advisers
Advisory firms matched from Schedule C service providers (investment codes 26-28).
| Firm | Match | Plan year |
|---|---|---|
| Ameriprise Financial Services, Llc CRD 6363 | deterministic · 100% | 2024 |
| Barnes Wealth Management Group, Inc. CRD 132189 | deterministic · 100% | 2024 |
| Sima Retirement Solutions, Llc CRD 286030 | deterministic · 100% | 2024 |
| Kestra Advisory Services, Llc CRD 283330 | deterministic · 100% | 2024 |
| Thurston Springer Advisors, Llc CRD 299201 | deterministic · 100% | 2024 |
| Wells Fargo Clearing Services, Llc CRD 19616 | deterministic · 100% | 2024 |
| Equitable Advisors, Llc CRD 6627 | deterministic · 100% | 2024 |
| Wells Fargo Advisors Financial Network, Llc CRD 11025 | fuzzy_auto · 96% | 2024 |
| Sax Wealth Advisors, Llc CRD 119193 | deterministic · 100% | 2024 |
| Alera Investment Advisors, Llc CRD 287906 | deterministic · 100% | 2024 |
| Sanctuary Wealth Advisors Llc CRD 285428 | deterministic · 100% | 2024 |
| World Investment Advisors, Llc CRD 208512 | deterministic · 100% | 2024 |
| Sageview Advisory Group, Llc CRD 126777 | deterministic · 100% | 2024 |
| Gallagher Fiduciary Advisors, Llc CRD 146509 | deterministic · 100% | 2024 |
| Girard Advisory Services, Llc CRD 39163 | deterministic · 100% | 2024 |
| Ima Advisory Services, Inc. CRD 112091 | deterministic · 100% | 2024 |
| Capital Asset Advisory Services, Llc. CRD 110929 | deterministic · 100% | 2024 |
| Compass Advisory Group Llc CRD 288256 | deterministic · 100% | 2024 |
| Wealth Advisors Group, Llc CRD 291648 | fuzzy_auto · 98% | 2024 |
| Cambridge Investment Research Advisors, Inc. CRD 134139 | fuzzy_auto · 98% | 2024 |
| Commonwealth Equity Services, Llc CRD 8032 | deterministic · 100% | 2024 |
| Mml Investors Services, Llc CRD 10409 | deterministic · 100% | 2024 |
| Park Avenue Securities Llc CRD 46173 | deterministic · 100% | 2024 |
| Morningstar Investment Management Llc CRD 108031 | fuzzy_auto · 99% | 2024 |
| Wilshire Advisors Llc CRD 6210 | deterministic · 100% | 2024 |
Service providers
Schedule C providers paid $5,000+ (large plans only).
| Provider | Services | Direct comp |
|---|---|---|
| Principal Life Insurance Company | Recordkeeping fees, Direct payment from the plan, Contract administrator | $5,119,861 |
| Osaic Wealth Inc | Other fees, Other services, Direct payment from the plan | $57,819 |
| Ameriprise Financial Services Llc. | Investment advisory (plan), Direct payment from the plan | $48,869 |
| Lpl Financial Llc Rpcp | Investment advisory (plan), Direct payment from the plan | $45,654 |
| Global Retirement Partners Llc | Direct payment from the plan | $41,473 |
| Synovus Securities, Inc. | Consulting (pension), Direct payment from the plan | $35,456 |
| Barnes Wealth Management Group | Investment advisory (plan) | $26,635 |
| Sima Retirement Solutions, Llc | Direct payment from the plan, Investment advisory (plan) | $25,958 |
| Wilmington Trust,N.A. | Investment advisory (plan), Direct payment from the plan | $23,615 |
| Kestra Advisory Services, Llc | Investment advisory (plan), Direct payment from the plan | $18,569 |
| Prager Metis | Direct payment from the plan, Accounting | $18,375 |
| Creativeone Securities, Llc | Direct payment from the plan | $17,547 |
| Thurston Springer Advisors | Investment advisory (plan), Direct payment from the plan | $17,540 |
| Wells Fargo Clearing Services Llc | Other fees, Investment advisory (plan), Other services | $17,076 |
| Equitable Advisors, Llc. | Other fees, Investment advisory (plan), Direct payment from the plan | $16,930 |
| Cadaret Grant & Co Inc | Other fees, Investment advisory (plan), Other services | $13,234 |
| Wells Fargo Advisors Fin Network | Investment advisory (plan), Direct payment from the plan | $12,835 |
| Sax Wealth Advisors, Llc | Investment advisory (plan), Direct payment from the plan | $12,713 |
| Valmark Securities Inc | Investment advisory (plan), Direct payment from the plan | $12,508 |
| Northwestern Mutual Wealth Mgmt | Investment advisory (plan), Direct payment from the plan | $12,066 |
| Alera Investment Advisors, Llc | Direct payment from the plan, Investment advisory (plan) | $11,524 |
| Sanctuary Advisors, Llc | Investment advisory (plan), Direct payment from the plan | $11,508 |
| World Investment Advisors, Llc | Direct payment from the plan, Investment advisory (plan) | $10,002 |
| Sageview Advisory Group, Llc | Investment advisory (plan), Direct payment from the plan | $9,865 |
| Gallagher Fiduciary Advisors, Llc | Investment advisory (plan), Direct payment from the plan | $9,620 |
| Girard Advisory Services, Llc | Investment advisory (plan), Direct payment from the plan | $9,291 |
| Ima Advisory Services, Inc. | Direct payment from the plan, Investment advisory (plan) | $8,865 |
| Capital Asset Advisory Services | Investment advisory (plan) | $8,417 |
| Lindsey Financial Solutions, Llc | Investment advisory (plan), Direct payment from the plan | $7,886 |
| Securities America Advisors, Inc. | Investment advisory (plan), Direct payment from the plan | $7,833 |
| Compass Advisory Group Llc | Investment advisory (plan), Direct payment from the plan | $7,610 |
| Wealth Advisory Group, Inc. | Investment advisory (plan), Direct payment from the plan | $6,932 |
| Cambridge Investment Research Advis | Direct payment from the plan, Investment advisory (plan) | $6,796 |
| Commonwealth Financial Network | Other fees, Investment advisory (plan), Direct payment from the plan | $6,209 |
| Stifel Nicolaus & Company Inc | Other fees, Investment advisory (plan), Other services | $4,389 |
| Mml Investors Services Llc | Other fees, Investment advisory (plan), Other services | $3,855 |
| Fbl Marketing Services, Llc | Other fees, Investment advisory (plan), Other services | $2,589 |
| Cetera Advisor Networks Llc | Other fees, Investment advisory (plan), Other services | $2,349 |
| Park Avenue Securities | Other fees, Direct payment from the plan, Other commissions | $1,135 |
| John Marchetti | Direct payment from the plan, Investment advisory (plan) | $621 |
| Ameriprise Financial Services Inc | Other fees, Investment advisory (plan), Other services | $77 |
| Principal Securities Inc | Other services, Other commissions, Other fees | $0 |
| Lpl Financial Llc | Other services, Other fees, Other commissions | $0 |
| Ameriprise Financial Services Inc | Other services, Other commissions | $0 |
| Northwestern Mutual Investment Serv | Other services, Other fees, Other commissions | $0 |
| Rbc Capital Markets Llc | Other services, Other commissions, Other fees | $0 |
| New York Life Securities | Other services, Other commissions, Other fees | $0 |
| Cetera Advisor Networks Insurance S | Other services, Other commissions | $0 |
| Purshe Kaplan Sterling Investments | Other services, Other commissions, Other fees | $0 |
| Equitable Network Llc | Other services, Other commissions | $0 |
| Sanctuary Securities Inc | Other services, Other commissions, Other fees | $0 |
| Truist Investment Services Inc | Other fees, Other commissions, Other services | $0 |
| Cetera Advisors Llc | Other services, Other commissions, Other fees | $0 |
| Mml Insurance Agency Llc | Other services, Other commissions | $0 |
| Hilltop Securities Insurance Agency | Other services, Other commissions | $0 |
| Gwn Securities Inc. | Other services, Other fees | $0 |
| Bell Anderson Agency, Inc. | Other fees, Other services, Other commissions | $0 |
| Prudential Insurance Agency Llc | Other services, Other commissions | $0 |
| N P A Ins Agency Inc | Other services, Other commissions | $0 |
| Equity Services, Inc. | Other services, Other fees | $0 |
| Janney Montgomery Scott Llc | Other services, Other commissions, Other fees | $0 |
| Mt & W Associates, Inc. | Other services, Other fees, Other commissions | $0 |
| Robert W. Baird & Co. Incorporated | Other services, Other fees | $0 |
| Morningstar Investment Management L | Investment advisory (participants), Consulting fees | $0 |
| Wilshire Advisors Llc | Investment advisory (plan), Other investment fees and expenses | $0 |