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April 01, 1996 12:00 AM

SPECIAL REPORT: DEFINED CONTRIBUTION

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    No. of participants

    Total100,000

    Investment mgmt. only100,000

    Participants served exclusively50,000

    Investment mgmt. only50,000

    SERVICES PROVIDED:

    Employee meetings

    Generic employee investment education

    Consulting services

    INVESTMENT MANAGEMENT SERVICES

    Daily valuation

    Total defined contribution assets: $2 billion

    In-house investment management services are provided through:

    *Internally managed mutual funds

    *Internally managed commingled funds

    *Internally managed separate accounts

    AMR Investment Services Inc. provides services to 15 sponsors, all investment management clients.

    It has record-keeping partnerships with The 401(k) Co.; Milliman & Robertson; Mercer; Towers Perrin; First Interstate; NationsBank; Banc of Oklahoma; Compass Bank; Buck; and KeyCorp.

    Keith Wagner is client contact.

    Bankers Trust Co.

    280 Park Ave. New York, N.Y. 10017; phone: (212) 454-2400; fax: (212) 454-2647

    No. of participants

    Total1,300,000

    SERVICES PROVIDED:

    Plan design

    Employee meetings

    Generic employee investment education

    Customized employee investment education

    Generic employee communications

    Customized employee communications

    Compliance and reporting

    Consulting services

    Toll-free, automated voice-response system

    TOLL-FREE NUMBER SERVICES

    Account balance

    Account transfers

    24-hour access

    Operators

    Foreign language capability

    Changes to contribution allocations

    Loan request/processing

    Performance data

    Fund information

    Retirement planning assistance

    Client service rep available

    Integrated DB/DC platform

    Withdrawal/termination processing

    INVESTMENT MANAGEMENT SERVICES

    Daily valuation

    Total defined contribution assets: $28 billion

    In-house investment management services are provided through:

    *Internally managed mutual funds

    *Internally managed commingled funds

    *Internally managed separate accounts

    *GICs

    External investment management services are provided through:

    Private label mutual funds

    Bankers Trust Co. provides services to 164 sponsors: 111 for bundled services (including in-house investment management), and 53 for bundled services except in-house investment management.

    It has investment management partnerships with Twentieth Century; Janus; Neuberger & Berman; Federated; and Capital Research.

    It offers a World Wide Web site; client-specific defined contribution sites are in progress. It offers participant and sponsor access to account information through a secure private network.

    Timothy F. Keaney is client contact.

    Buck Consultants Inc.

    2 Pennsylvania Plaza, New York, N.Y. 10121-0047; phone: (212) 330-1000; fax: (212) 695-4184

    No. of participants

    Total380,000

    Bundled (exc. in-house asset mgmt.)380,000

    Participants served exclusively380,000

    Record-keeping/administration only380,000

    SERVICES PROVIDED:

    Plan design

    Employee meetings

    Generic employee investment education

    Customized employee investment education

    Generic employee communications

    Customized employee communications

    Compliance and reporting

    Consulting services

    Toll-free, automated voice-response system

    TOLL-FREE NUMBER SERVICES

    Account balance

    Account transfers

    24-hour access

    Operators

    Foreign language capability

    Changes to contribution allocations

    Loan request/processing

    Performance data

    Fund information

    Retirement planning assistance

    Client service rep available

    Withdrawal disbursements

    Personal ID code changes

    Suspensions

    Confirmation of changes

    Transfer to live operator

    Enrollment

    Loan modeling

    INVESTMENT MANAGEMENT SERVICES

    Daily valuation

    External investment management services are provided through:

    Private label mutual funds

    Commingled funds

    Separate accounts

    GICs

    Investment management consulting

    Buck Consultants Inc. provides services to 441 sponsors, all for bundled services except in-house investment management clients.

    It has investment management partnerships with AIM; Capital Guardian; Delaware Management; Dodge & Cox; Dreyfus; Federated; Franklin/Templeton; INVESCO; MFS; Montgomery Asset; Morley Capital; Neuberger & Berman; Phoenix; PIMCO; Scudder, Stevens & Clark; Strong Capital; Twentieth Century; and Vista Funds. It has trustee alliance partnerships with Chase Manhattan and State Street Bank.

    It offers data interchange and e-mail through public online systems, and direct inquiry and transactions, data interchange, e-mail, and report writing through a secure private network.

    Carolee P. Martin and Pamela Stewart are client contacts.

    BZW Barclays Global

    Investors - MasterWorks

    Group

    420 Montgomery St., San Francisco, Calif. 94104; phone: (415) 396-5835; fax: (415) 291-8803

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      • ESG Rated ETFs
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