Home   >   AEGON Companies Profit Sharing Plan  >  Form 5500   >   Service Providers
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Company:
Aegon USA, LLC

Plan:
AEGON Companies Profit Sharing Plan
Print Complete 5500 Print Complete 5500
 
Service Providers
Name Nature of Service Relationship to Plan Sponsor Direct Compensation Paid by Plan Indirect Compensation Paid by Plan Total Compensation
Charles Schwab & Co Inc Investment management, Securities brokerage Securities Broker $68,261 $0 $68,261
Cls Investments LLC Investment advisory (plan) NONE $0 $21,809 $21,809
Diversified Investment Advisors Claims processing, Recordkeeping and information management (computing, tabulating, data processing, etc.), Investment management, Participant loan processing, Participant communication, Direct payment from the plan, Sales loads (front end and deferred), Shareholder servicing fees, Finders' fees/placement fees, Float revenue, Distribution (12b-1) fees, Recordkeeping fees, Account maintenance fees Record Keeper $255 $0 $255
Natioinal Financial Services Securities brokerage Securities Broker $0 $0 $0
Total $68,516 $21,809 $90,325

Service Providers
Name Source of Indirect Compensation* Nature of Service Description of Indirect Compensation Indirect Compensation Paid by Plan
Diversified Investment Advisors Columbia Claims processing, Recordkeeping and information management (computing, tabulating, data processing, etc.), Investment management, Participant loan processing, Participant communication, Direct payment from the plan, Sales loads (front end and deferred), Shareholder servicing fees, Finders' fees/placement fees, Float revenue, Distribution (12b-1) fees, Recordkeeping fees, Account maintenance fees Revenue Sharing See Attachment To Line 2(H) $0
National Financial Services Columbia Securities brokerage Revenue Sharing See Attachment To Line 2(H) $0
Charles Schwab and Co Inc Aberdeen Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Advisorone Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc AKRE Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Alger Securities brokerage Range of 0.40 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Allianz Funds Securities brokerage Range of 0.01 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Alpine Securities brokerage Range of 0.40 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Amana Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc American Beacon Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc American Century Investments Securities brokerage Range of 0.24 - 0.35% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc American Funds Securities brokerage Range of 0.05 - 0.60% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Ariel Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Artio Global Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Artisan Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Aston Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Ave Maria Mutual Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Baron Capital Group Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Blackrock Securities brokerage Range of 0.40 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Bridgeway Securities brokerage Rate of 0.15% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Brown Advisory Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Buffalo Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Calamos Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Calvert Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Cambiar Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Causeway Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Champlain Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Cohen & Steers Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Columbia Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Croft Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Davis Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Delaware Investments Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Diamond Hill Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Domini Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Doubleline Securities brokerage Range of 0.10 - 0.36% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Dreman Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Dreyfus Securities brokerage Rate of 0.48% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Driehaus Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Dws Investments Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Embarcadero Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc FAM Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Fbr Mutual Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Federated Securities brokerage Range of 0.25 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc First American Securities brokerage Rate of 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc First Eagle Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Firsthand Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Fmi Funds Securities brokerage Rate of 0.45% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Forester Securities brokerage Rate of 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Forward Funds Securities brokerage Range of 0.40 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Franklin Templeton Investments Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Gabelli Securities brokerage Range of 0.35 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Goldman Sachs Securities brokerage Rate of 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Greenspring Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Guinness Atkinson Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Harding Loevner Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Hartford Mutual Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Heartland Securities brokerage Rate of 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Hennessy Securities brokerage Range of 0.40 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Icon Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Ing Funds Securities brokerage Rate of 0.45% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Integrity Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Invesco Aim Securities brokerage Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Iva Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Jacob Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc James Advantage Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Janus Securities brokerage Range of 0.09 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Jensen Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Jpmorgan Securities brokerage Range of 0.40 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Keeley Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Kinetics Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Laudus Funds Securities brokerage Range of 0.10 - 0.25% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Lazard Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Legg Mason/Western Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Leuthold Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Mainstay Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Manning & Napier Securities brokerage Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Marsico Investment Fund Securities brokerage Rate of 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Matthews Asia Funds Securities brokerage Range of 0.33 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Merger Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Metropolitan West Funds Securities brokerage Range of 0.35 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Metzler/Payden Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Munder Securities brokerage Rate of 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Needham Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Neuberger Berman Securities brokerage Range of 0.29 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Northern Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Oak Associates Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Oppenheimerfunds Securities brokerage Rate of 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Pacific Advisors Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Parnassus Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Permanent Portfolio Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Pioneer Investments Securities brokerage Rate of 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Portfolio 21 Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Principal Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Profunds Securities brokerage Range of 0.40 - 0.80% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Prudential Investments Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Quaker Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Rainier Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Ridgeworth Securities brokerage Range of 0.15 - 0.35% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Royce Securities brokerage Range of 0.45 - 0.79% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Rs Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Satuit Capital Management Trust Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Schwab Funds Securities brokerage Range of 0.02 - 0.25% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Scout Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc SIT Securities brokerage Rate of 0.38% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc State Street Global Advisors. Securities brokerage Range of 0.30 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc T. Rowe Price Securities brokerage Rate of 0.01% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc TCW Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Thomas White Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Thompson Plumb Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Thornburg Securities brokerage Rate of 0.60% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Tocqueville Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Touchstone Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Transamerica Securities brokerage Range of 0.10 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Turner Investment Partners Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc U.S. Global Investors Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Valley Forge Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Value Line Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Van Eck Securities brokerage Rate of 0.10% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Virtus Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Wasatch Securities brokerage Range of 0.35 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Weitz Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Wells Fargo Advantage Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc William Blair Securities brokerage Rate of 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Wintergreen Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Yacktman Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Acadian Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc BB&T Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Eaton Vance Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Fidelity Investments Securities brokerage Range of 0.15 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Harbor Securities brokerage Rate of 0.43% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Henderson Global Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Ivy Funds Securities brokerage Range of 0.40 - 0.50% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Natixis Funds Securities brokerage Range of 0.35 - 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Oakmark Securities brokerage Rate of 0.35% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Old Mutual Advisor Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Perritt Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Rydex Sgi Securities brokerage Range of 0.40 - 0.80% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Sentinel Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc The Westport Funds Securities brokerage Rate of 0.40% of Average Daily Balance of Assets $0
Charles Schwab and Co Inc Third Avenue Securities brokerage Range of 0.40 - 0.50% of Average Daily Balance of Assets $0
*As outlined by the Form 5500 Instructions for service providers with indirect compensation.