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
