NAPA Net - Polling Places 011219

What's the Deal with ESG?

Advisors – participant investors – and these days, even regulators - appear to be of two minds on environmental, social and governance investing – better known as “ESG”.

This week, we’d like to know what you think – and what, if anything, you’re recommending.

1.Are you recommending ESG options to your plan sponsor clients/prospects?

Yes.

To some, in selected circumstances.

No.

Only when asked about it.

Any comments?

2.Are your plan sponsor clients/prospects asking about ESG options?

Some are, most aren't.

Yes.

No.

Asking, yes. Acting is another matter.

Any comments?

3.Are your plan sponsor clients/prospects acting on implementing ESG options?

Many are, but not all.

No.

Some are, most aren't.

Yes.

Mostly they seem to be "window shopping.'

Any comments?

4.When the plan(s) you work with add an ESG option, what has, generally speaking, been the participant response?

Modest, but enthusiastic.

Tepid at best.

Very positive

Don't have ESG in any of the plan(s) with which I work.

Any comments?

5.What's YOUR take on ESG options on the DC plan menu (please only pick one)?

I'm open to the idea, but not really committed.

I'm completely on board!

I've got my doubts.

I think it makes sense as a consideration, but not a controlling consideration.

Any comments?

6.As noted in our reader poll post, ESG was a topic about which 20% of surveyed advisors wanted to know more - and at the NAPA 401(k) Summit (Las Vegas, April 7-9), we'll have a session on ESG. What question(s) would you like that session (or NAPA-Net coverage) to address on the subject?

7.Other comments about ESG, your feelings about ESG, plan sponsor perspectives on ESG, the impact of the Labor Department's FABs on ESG adoption, enthusiasm (or lack thereof) among participants for the option, the amount of action versus interest in the alternative, or life in general?

8.What is your role working with retirement plans?

Advisor

Provider

TPA

Plan sponsor

Recordkeeper

Other (please specify)

9.What size plans do you PRIMARILY work with?

Under $10 million in assets

$10-$20 million

$20-$50 million

$50-100 million

$100 million - $250 million

$250 million - $500 million

Above $500 million

Other (please specify)

10.Suggestions for future survey questions?

11.All responses are anonymous and confidential, of course - but if you'd like me to know who you are, or allow for a response, you can leave your email below...

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