UMB Bank N.A.
1010 Grand Ave., Kansas City, Mo. 64105; phone: (816) 860-7474; fax: (816) 860-4804
SERVICES PROVIDED:
-Investment management
-Record-keeping/administration
-On-going employee education
-Project-based employee education
-Enrollment assistance
-On-going employee communications
-Trustee services
-Performance measurement services
-Daily processing service and voice response
-Compliance testing
-Benefit payment and 1099R tax reporting
-IRS prototype plan documents
-Custody and safekeeping of plan assets
-Financial counseling 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
INVESTMENT MANAGEMENT:
-Daily account valuation is offered
-Total defined contribution assets: $5.5 billion
-Defined contribution clients: 1,561
-No. of participants in client plans: 72,000
Management services are provided through:
-Proprietary mutual funds, run in-house
-Commingled funds, run in-house
-An alliance
-Individual securities portfolios
Record-keeping/administrative services are supplied through:
-An in-house department
Alliance partners:
Fidelity, Jones and Babson
Contact: Mark Kistler
United Life Insurance Co.
P.O. Box 368, 1 American Square, Indianapolis, Ind. 46206-0368; phone: (317) 263-1161; fax: (317) 263-1956
SERVICES PROVIDED:
-Investment management
-Record-keeping/administration
-On-going employee education
-Project-based employee education
-Plan design
-Enrollment assistance
-On-going employee communications
A full-service bundled product is offered
800-NUMBER SERVICES:
-Account balance
-Account transfers
-Live operators
-Changes to contribution allocations
-Performance data
-Fund information
INVESTMENT MANAGEMENT:
-Daily account valuation is offered
-Total defined contribution assets: $3.7 billion
-Defined contribution clients: 7,000
-No. of participants in client plans: 300,000
Management services are provided through:
-Proprietary mutual funds, run in-house
-Commingled funds, run in-house
-An alliance
-GICs
Record-keeping/administrative services are supplied through:
-An in-house department
Contact: Brian Sweeney
Universal Pensions Inc.
P.O. Box 979, Brainerd, Minn. 56401; phone: (218) 829-4781; fax: (218) 829-4814
SERVICES PROVIDED:
-Record-keeping/administration
-Plan design
-Enrollment assistance
-On-going employee communications
A full-service bundled product is not offered
800-NUMBER SERVICES:
-Account balance
-Account transfers
-24-hour access
-Live operators
-Changes to contribution allocations
-Loan request/processing
-Performance data
-Retirement planning aid
-Daily account valuation is offered
-Defined contribution clients: 7,000
-No. of participants in client plans: 100,000
Management services are provided through:
-An alliance
Record-keeping/administrative services are supplied through:
-An in-house department
Contact: Chris Johnson
Van Kampen/American Capital Inc.
1 Parkview Plaza, Oak Brook Terrace, Ill. 60181; phone: (708) 684-6131
SERVICES PROVIDED:
-Investment management
-Record-keeping/administration
-On-going employee education
-Project-based employee education
-Plan design
-Enrollment assistance
-On-going employee communications
-Trustee services
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
-Loan mapping
INVESTMENT MANAGEMENT:
-Daily account valuation is offered
-Total defined contribution assets: $6 billion
-Defined contribution clients: 1,220
-No. of participants in client plans: 56,800
Management services are provided through:
-Proprietary mutual funds, run in-house
Record-keeping/administrative services are supplied through:
-An in-house department
Contact: C. Edward Fisher
Vanguard Group Inc.
P.O. Box 2600, Valley Forge, Pa. 19482; (800) 523-1036
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 seminars
-Investment reviews
-Interactive retirement software
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: $49 billion
-Defined contribution clients: 2,500
-No. of participants in client plans: 1.2 million
Management services are provided through:
-Proprietary mutual funds, run in-house
-Private label mutual funds, run externally
-Commingled funds, run in-house
-GICs
Record-keeping/administrative services are supplied through:
-An in-house department
Contact: William McNabb
Wachovia Corp.
301 N. Main St., Winston-Salem, N.C. 27150; phone: (910) 770-4182; fax: (910) 770-6131
SERVICES PROVIDED:
-Investment management
-Record-keeping/administration
-On-going employee education
-Project-based employee education
-Plan design
-Enrollment assistance
-On-going employee communications
-Prototype plan document
-Summary plan description
-Financial reporting for 5500
-Non-qualified mirror 401(k)s
-Compliance testing
-Performance measurement
-On-line access
-Proxy monitoring/voting
-Disbursement check imaging/EFT
-IRA rollover product
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
-Contribution rate changes
-Transaction confirmations
INVESTMENT MANAGEMENT:
-Daily account valuation is offered
-Total defined contribution assets: $10.6 billion
-Defined contribution clients: 440
Management services are provided through:
-Proprietary mutual funds, run in-house
-Commingled funds, run in-house
-An alliance
Record-keeping/administrative services are supplied through:
-An in-house department
-An alliance with other firms
Alliance partners:
Hewitt; Buck
Contact: Marianne B. Price
Warburg Pincus Funds
466 Lexington Ave., New York, N.Y. 10017; phone: (212) 878-0858; fax: (212) 878-9351
SERVICES PROVIDED:
-Investment management
-Enrollment assistance
A full-service bundled product is not offered
800-NUMBER SERVICES:
-Live operators
-Performance data
-Fund information
-Daily account valuation is offered
Management services are provided through:
-Proprietary mutual funds, run in-house
Record-keeping/administrative services are supplied through:
-An alliance with other firms
Alliance partners:
Buck; Schwab; CIGNA; Emjay; First Union Bank; Minnesota Mutual Life; New York Life; SunGard; Mercer; Wyatt; Towers Perrin
Contact: Brady T. Lipp
Wells Fargo Defined Contribution Services Group
420 Montgomery St., San Francisco, Calif. 94163; phone: (415) 396-5835; fax: (415) 291-8803
SERVICES PROVIDED:
-Investment management
-Record-keeping/administration
-On-going employee education
-Project-based employee education
-Plan design
-Enrollment assistance
-On-going employee communications
-Trust services
-Investment for non-qualified plans
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
-Eligibility tracking
-Enrollment
INVESTMENT MANAGEMENT:
-Daily account valuation is offered
-Total defined contribution assets: $15 billion
-Defined contribution clients: 260
-No. of participants in client plans: 1 million
Management services are provided through:
-Proprietary mutual funds, run in-house
-Commingled funds, run in-house
-An alliance
-GICs
Record-keeping/administrative services are supplied through:
-An in-house department
Contact: Alan Kizor
Wyatt Preferred Choice
6483 City West Parkway, Minneapolis, Minn. 55344; phone: (612) 996-1703; fax: (612) 996-1880
SERVICES PROVIDED:
-Investment management
-Record-keeping/administration
-On-going employee education
-Project-based employee education
-Plan design
-Enrollment assistance
-On-going employee communications
-Trustee services
-Compliance consulting
-Benefits consulting
-Human resource management consulting
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
-Customized 800 lines
INVESTMENT MANAGEMENT:
-Daily account valuation is offered
-Total defined contribution assets: $2.5 billion
-Defined contribution clients: 2,000
-No. of participants in client plans: 1.2 million
Management services are provided through:
-Commingled funds, run in-house
-Commingled funds, run externally
-An alliance
-GICs
Record-keeping/administrative services are supplied through:
-An in-house department
Alliance partners:
Bank of New York,INVESCO, Wells Fargo Nikko, Dreyfus, MFS Investor Services, Phoenix, Twentieth Century, PRIMCO.
Contact: Tony Herron
