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February 06, 1995 12:00 AM

DEFINED CONTRIBUTION DIRECTORY

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    RogersCasey & Associates

    1 Parklands Drive, Darien, Conn. 06820; phone: (203) 656-5916; fax: (203) 656-2236

    SERVICES PROVIDED:

    -On-going employee education

    -Project-based employee education

    -On-going employee communications

    -DC consulting services

    -Plan reviews

    -Investment option design

    -On-going monitoring and evaluation

    -Managed investment programs

    A full-service bundled product is not offered

    -Defined contribution clients: 33

    -No. of participants in client plans: 15,000

    Contact: Ruth Hughes-Guden

    Frank Russell Trust Co.

    909 A St., Tacoma, Wash. 98402; phone: (206) 572-9500; fax: (206) 594-1890

    SERVICES PROVIDED:

    -Investment management

    -Record-keeping/administration

    -On-going employee education

    -Project-based employee education

    -Plan design

    -Enrollment assistance

    -On-going employee communications

    -Retirement planning

    -Consulting

    -IRA rollover

    -Paying agent

    -Full tax remission to IRS for withholding

    -Trustee and custodial services

    -Tax forms to terminees/other benefit recipients

    A full-service bundled product is offered

    800-NUMBER SERVICES:

    -Account balance

    -Account transfers

    -24-hour access

    -Live operators

    -Changes to contribution allocations

    -Loan request/processing

    -Performance data

    -Fund information

    -Retirement planning aid

    INVESTMENT MANAGEMENT:

    -Daily account valuation is offered

    -Total defined contribution assets: $5 billion

    -Defined contribution clients: 112

    Management services are provided through:

    -Commingled funds, run in-house

    -Commingled funds, run externally

    -GICs

    Record-keeping/administrative services are supplied through:

    -A third-party administrator

    Contact: Eric Russell

    SAFECO Mutual Funds

    P.O. Box 34890, Seattle, Wash. 98124-1890; phone: (206) 545-6475; fax: (206) 545-5439

    SERVICES PROVIDED:

    -Investment management

    -Record-keeping/administration

    -On-going employee education

    -Project-based employee education

    -Plan design

    -Enrollment assistance

    -On-going employee communications

    -Newsletters

    -Video enrollment

    A full-service bundled product is offered

    800-NUMBER SERVICES:

    -Account balance

    -Account transfers

    -24-hour access

    -Live operators

    -Changes to contribution allocations

    -Loan request/processing

    -Performance data

    -Fund information

    -Retirement planning aid

    INVESTMENT MANAGEMENT:

    -Daily account valuation is offered

    -Total defined contribution assets: $300 million

    Management services are provided through:

    -Proprietary mutual funds, run in-house

    -An alliance

    Record-keeping/administrative services are supplied through:

    -An in-house department

    Contact: Leslie Eggerling

    Scarborough Group

    116 Defense Highway, Conte Building, Suite 201, Annapolis, Md. 21401; phone: (410) 573-5700; fax: (410) 573-5708

    SERVICES PROVIDED:

    -Investment management

    -On-going employee education

    -Project-based employee education

    -Enrollment assistance

    -On-going employee communications

    -Investment management services for participants

    A full-service bundled product is not offered

    800-NUMBER SERVICES:

    -Changes to contribution allocations

    -Retirement planning aid

    INVESTMENT MANAGEMENT:

    -Total defined contribution assets: $300 million

    -Defined contribution clients: 5

    -No. of participants in client plans: 300,000

    Contact: J. Michael Scarborough

    Schwab Institutional

    101 Montgomery St., San Francisco, Calif. 94104; phone: (800) 772-4922; fax: (415) 403-5475

    SERVICES PROVIDED:

    -Investment management

    -Record-keeping/administration

    -On-going employee education

    -Project-based employee education

    -Plan design

    -Enrollment assistance

    -On-going employee communications

    -Plan trustee services

    -Participant tax reporting

    A full-service bundled product is offered

    INVESTMENT MANAGEMENT:

    -Daily account valuation is offered

    -Defined contribution clients: 3,500

    Management services are provided through:

    -An alliance

    Record-keeping/administrative services are supplied through:

    -An alliance

    Contact: Laura Gillespie

    Scudder, Stevens & Clark

    345 Park Ave., New York, N.Y. 10154-0010; phone: (212) 326-6661; fax: (212) 980-3314

    SERVICES PROVIDED:

    -Investment management

    -Record-keeping/administration

    -On-going employee education

    -Project-based employee education

    -Plan design

    -Enrollment assistance

    -On-going employee communications

    -Trustee and custodial services

    A full-service bundled product is offered

    800-NUMBER SERVICES:

    -Account balance

    -Account transfers

    -24-hour access

    -Live operators

    -Changes to contribution allocations

    -Loan request/processing

    -Performance data

    -Fund information

    -Retirement planning aid

    INVESTMENT MANAGEMENT:

    -Daily account valuation is offered

    -Total defined contribution assets: $2.5 billion

    -Defined contribution clients: 600

    -No. of participants in client plans: 125,000

    Management services are provided through:

    -Proprietary mutual funds, run in-house

    -Commingled funds, run in-house

    -GICs

    -Collective investment trusts

    Record-keeping/administrative services are supplied through:

    -An in-house department

    Contact: Jon R. Yenor

    Sedgwick Noble Lowndes

    5350 Poplar Ave., Memphis, Tenn. 38119; phone: (901) 684-4074; fax: (901) 684-4075

    SERVICES PROVIDED:

    -Record-keeping/administration

    -On-going employee education

    -Project-based employee education

    -Plan design

    -Enrollment assistance

    -On-going employee communications

    -Compliance testing

    -Consulting

    -Asset consulting

    -Third-party provider searches/selection

    800-NUMBER SERVICES:

    -Account balance

    -Account transfers

    -24-hour access

    -Live operators

    -Changes to contribution allocations

    -Loan request/processing

    -Performance data

    -Fund information

    -Hardship approval

    -Daily account valuation is offered

    -Defined contribution clients: 500

    -No. of participants in client plans: 125,000

    Record-keeping/administrative services are supplied through:

    -An in-house department

    Contact: E.H. "Ted" Wood Jr.

    The Segal Co.

    1 Park Ave., New York, N.Y. 10016; phone: (212) 251-5324; fax: (212) 251-5490

    SERVICES PROVIDED:

    -Investment management

    -Record-keeping/administration

    -On-going employee education

    -Project-based employee education

    -Plan design

    -Enrollment assistance

    -On-going employee communications

    -Administration services-IRS 5500 reporting

    -On-line account access

    -Full communication services

    -Defined contribution consulting

    -Compliance review

    -Comprehensive benefit statements

    A full-service bundled product is offered

    800-NUMBER SERVICES:

    -Account balance

    -Account transfers

    -24-hour access

    -Changes to contribution allocations

    -Loan request/processing

    -Performance data

    -Fund information

    -Retirement planning aid

    -Enrollments and distributions

    INVESTMENT MANAGEMENT:

    -Daily account valuation is offered

    -Defined contribution clients: 110

    -No. of participants in client plans: 60,000

    Management services are provided through:

    -An alliance

    Record-keeping/administrative services are supplied through:

    -An in-house department

    Alliance partners: Charles Schwab; Dreyfus

    Contact: Robert A. Liberto

    Selected/Venture Adviser

    124 E. Marcy St., Santa Fe, N.M. 87501; phone: (800) 279-2279; fax: (505) 983-6019

    SERVICES PROVIDED:

    -Investment management

    -Record-keeping/administration

    -Plan design

    -Enrollment assistance

    -On-going employee communications

    A full-service bundled product is offered

    800-NUMBER SERVICES:

    -Account balance

    -Account transfers

    -24-hour access

    -Live operators

    -Changes to contribution allocations

    -Performance data

    -Fund information

    INVESTMENT MANAGEMENT:

    -Daily account valuation is offered

    -Total defined contribution assets: $11 million

    -No. of participants in client plans: 434

    Management services are provided through:

    -Proprietary mutual funds, run in-house

    Record-keeping/administrative services are supplied through:

    -An in-house department

    -A third-party administrator

    Contact: Carl R. Luff

    Shawmut Investment Advisers

    1 Federal St., Boston, Mass. 02211; phone: (617) 292-4385; fax: (617) 292-2412

    SERVICES PROVIDED:

    -Investment management

    -Record-keeping/administration

    -Plan design

    -Enrollment assistance

    -On-going employee communications

    -Trustee services

    -Deferred compensation programs

    -Benefit payment programs

    A full-service bundled product is offered

    800-NUMBER SERVICES:

    -Account balance

    -Account transfers

    -24-hour access

    -Live operators

    -Changes to contribution allocations

    -Loan request/processing

    INVESTMENT MANAGEMENT:

    -Daily account valuation is offered

    -Total defined contribution assets: $1.6 billion

    -Defined contribution clients: 410

    -No. of participants in client plans: 50,000

    Management services are provided through:

    -Private label mutual funds, run externally

    -Commingled funds, run in-house

    -Commingled funds, run externally

    -An alliance

    Record-keeping/administrative services are supplied through:

    -An in-house department

    Contact: Michael McKenzie

    Shields Associates

    71 Broadway, Suite 2201, New York, N.Y. 10006; phone: (212) 509-1126; fax: (212) 509-3734

    SERVICES PROVIDED:

    -Plan design

    -Performance measurement

    -Investment manager search/selection

    -Master trustee/custodian search/selection

    A full-service bundled product is not offered

    Contact: T. Dean Armstrong

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