Thank you for considering Principal® as your retirement plan service provider!

Thank you for considering Principal® as your retirement plan service provider! We look forward to meeting with you.

The Principal® Team

Ryan Lewis

Senior Relationship Manager –

Consultant Relations

Ed Ruppert

Senior Relationship Director

Zach Elinich

Senior Digital Experience Consultant

John Dickinson

Senior Education Strategist

Molly Lawry

Senior Consultant

Don Ortloff

Lead Onboarding Manager

Meeting details

Discussion Topics

  • Principal Overview and Differentiators
  • Service Team Introductions and Sponsor Experience
  • Participant Experience and Technology Demonstration
  • Communication and Education Strategy
  • M&A Support
  • Implementation Process

Our meeting with you is scheduled for
October 26th, 2022 at 10:00 AM (CST)

Multiple plans. One integrated experience.


With Principal® Total Retirement Solutions you'll have one simple experience on a streamlined digital platform with one experienced relationship manager and one experienced team instead of multiple service providers. Plus, your employees can check their retirement benefits with just one click, one call, one app.

As a top service provider, our capabilities can help you manage the complexities of multiple retirement plans. Click on the circles to learn more about our services.

DC recordkeeper2
DB recordkeeper3
NQDC provider4
ESOP provider5

Flexible plan solutions.
Easy plan administration. Simple navigation.

Dedicated team. Your experienced service team will onboard your plan, oversee daily operations, educate your employees, and consult with you on plan design.
Consulting services. Our retirement plan consulting team can bring you forward-thinking strategies that can lead to increased efficiency, improved participant preparation for retirement, and lightened administrative load.
Participant dashboards. View participation rate reports, distribute educational content to your employees, model changes to your plan, and more with our participant dashboards.
Investment flexibility. You’ll have access to an extensive mutual fund network for your plan, along with robust investment alternatives including collective investment trusts, separate accounts and custom investments designed to help meet your participants' investing preferences.

Compliance support. File all forms and schedules directly from our plan sponsor website.6 We’ll even remind you to complete a Form 5500 Questionnaire.

Audit reporting. Complete your audit quickly and more efficiently with self-serve audit reports. Plus, get in-the-moment answers to your audit-related questions through our audit support hotline and virtual assistant.

1 Principal Financial Group was founded in 1879 and began providing plan services in 1941.
2 Based on defined contribution participant count. PLANSPONSOR July 2022 Recordkeeping Survey.
3 Based on number of plans, PLANSPONSOR DB Administration survey, May 2021.
4 Based on number of Section 409A plans, PLANSPONSOR Recordkeeping Survey, July 2022.
5 Based on number of ESOP plans, PLANSPONSOR Recordkeeeping Survey, July 2022.

6 Principal is a recordkeeper approved by the DOL to file Form 5500. Principal is one of two fully certified recordkeepers. The other providers have exceptions or limitations to their certification. Principal can file all forms and schedules. The others can only prepare and file specific forms and schedules. December 2021


Custom communication samples

We're able to communicate with your employees in a way that feels familiar and comfortable to them. We can develop customized participant campaigns with your brand. Communications include action items to help drive positive retirement outcomes, with topics such as transitioning to Principal, investment review/diversification, beneficiary designation, webinars, and mobile app usage. (Click on images below to see the full-size samples)

Multiple campaign touchpoints

For illustration use only.

Mergers and acquisitions

Mergers and acquisitions can be complicated – especially if retirement plans are involved. We provide merger and acquisition support for over 500 plans annually and can help you plan ahead to avoid bumps in the road. Molly Lawry, Stifel's assigned Plan Design and Regulatory Consultant, will work closely with you and Don Ortloff, Stifel’s assigned Onboarding Manager, through the merger and acquisition process to provide ongoing and consistent guidance related to the harmonizing of plans and participants.

Principal can discuss plan options, provide sample step-by-step instructions, and provide assistance with retirement plan provisions. Additionally, we will create a customized M&A playbook for Stifel that can be utilized for all future M&A activity.

Most of our core merger and acquisition services are part of our core service package and fees; including:

  • Pre-transition review
  • Plan design review and implementation
  • Transition consulting
  • Participant communication
  • Ongoing consulting related to the plan as your needs change

Customers want from us the same personalized and intuitive experience they get from companies like Amazon. That’s why it’s so important that we keep the customer at the center of what we do. Their needs and preferences must drive our actions. And as those change, we must change.

Daniel J. Houston
Chairman, President, and CEO

"Customers want from us the same personalized and intuitive experience they get from companies like Amazon. That’s why it’s so important that we keep the customer at the center of what we do. Their needs and preferences must drive our actions. And as those change, we must change."

Daniel J. Houston
Chairman, President, and CEO
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Thank you for your consideration.

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The subject matter in this communication is educational only and provided with the understanding that Principal® is not rendering legal, accounting, investment or tax advice. You should consult with appropriate counsel, financial professionals, and other advisors on all matters pertaining to legal, tax, investment or accounting obligations and requirements.

The value-added resources provided through ARAG Services, LLC (ARAG®) and iGrad, Inc. (Enrich) are not a part of any insurance products and plan administrative services provided through Principal Life Insurance Co or affiliated with any company of the Principal Financial Group®. All resources may be changed or canceled at any time. The use of resources provided by ARAG Services, LLC or Enrich should not be considered a substitute for consultation with an attorney or advisor. Principal® is not responsible for any loss, injury, claim, liability, or damages related to the use of the ARAG Will & Legal Document Center or Enrich resources. Please remember that the ARAG legal documents, DIY Docs® are accurate and useful in many situations. Due to possible changes by a state, it is a good idea to periodically review a template used to be sure it is the most current template. Whether or not the document is right for you and your situation depends on your circumstances. If you want specific advice regarding your situation, consult an attorney.

Insurance products and plan administrative services provided through Principal Life Insurance Company®. Securities offered through Principal Securities, Inc., member SIPC and/or independent broker-dealers. Principal Life, and Principal Securities® are members of the Principal Financial Group®, Des Moines, IA 50392.

Principal®, Principal Financial Group® and the Principal logo design are registered trademarks of Principal Financial Services, Inc., a Principal Financial Group company, in the United States and are trademarks and service marks of Principal Financial Services, Inc., in various countries around the world.

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