Paragon Asset Management
1000 Skokie Blvd., Suite 570, Wilmette, Ill. 60091; phone: (847) 256-6700; fax: (847) 256-6722
Paragon Asset Management Ltd. provides overall development of investment policies/objectives; overall development of appropriate asset allocation; and U.S. investment and global/international manager selections, performance measurement and additional analysis.
For 401(k) plans, the firm provides advice on which investment options to offer employees, advice on the hiring of firms offering specific investment options, guidance on the hiring of record-keeping service providers and investment education/communications programs for employees. It has one professional working solely on the needs of 401(k) plans.
The firm has special expertise in participant education.
Of the six tax-exempt clients on retainer, all are corporate funds.
There are two professional consultants. Fees are payable in hard dollars.
Tax-exempt retainer clients include Eisenmann Corp., Mel-O-Creme Donuts International, Richman Electronics and Industrial Representatives Inc.
Michael Ryan is client contact.
15760 Ventura Blvd., Suite 700, Encino, Calif. 91436; phone: (818) 995-8713; fax: (818) 995-8715
Pension Consulting Alliance Inc. provides overall development of investment policies/objectives; overall development of appropriate asset allocation; U.S. investment and global/international manager selections, performance measurement and additional analysis; venture capital manager selections and performance measurement; LBO manager selections; and private investments manager selections and additional analysis.
For 401(k) plans, the firm provides advice on which investment options to offer employees and advice on the hiring of firms offering specific investment options.
The firm has special expertise in international and real estate consulting and policy/strategy planning.
Of the 21 tax-exempt clients on retainer, two are corporate, 15 are public, two are union and two are foundation or endowment funds. The firm also provided services to nine non-retainer tax-exempt clients during the past year, of which one was corporate, four were public, three were union and one was a foundation or endowment fund.
There are five professional consultants. Fees are payable in hard dollars.
Tax-exempt retainer clients include CalPERS, CalSTRS, State of Minnesota and Colorado FPPA.
Gayle Kusatsu is client contact.
Plexus Group Inc.
606 Wilshire Blvd., Suite 310, Santa Monica, Calif. 90401; phone: (310) 451-5075; fax: (310) 394-6128
Plexus Group Inc. provides global transaction cost and broker cost analyses.
The firm has special expertise in assisting managers and brokers to improve performance.
Of the 11 tax-exempt clients on retainer, three are corporate and eight are public.
The firm also provided services to two non-retainer tax-exempt clients during the past year, both corporate.
There are eight professional consultants. Fees are payable in both hard and soft dollars.
Tax-exempt clients include CalPERS, General Motors, Philadelphia Board of Pensions and the Washington State Investment Board.
Carole Ryavec is client contact.
Portfolio Strategy
Consulting Inc.
2200 Sixth Ave., Suite 1125, Seattle, Wash. 98121; phone: (206) 441-8485; fax: (206) 441-8541
Portfolio Strategy Consulting Inc. provides overall development of investment policies/objectives; overall development of appropriate asset allocation; and U.S. investment, global/international, venture capital and private investments manager selections, performance measurement and additional analysis.
The firm has special expertise in manager due diligence/compliance.
The firm provides performance analysis, product development, education, research and investment strategy to the investment management industry.
Of the three tax-exempt clients on retainer, all are corporate funds. The firm also provided services to three non-retainer tax-exempt clients during the past year, all of which were corporate funds.
There are four professional consultants. Fees are payable in both hard and soft dollars.
Steven B. Crandall is client contact.
Prime Asset Consulting
1200 Harbor Blvd., Third Floor, Weehawken, N.J. 07087; phone: (201) 902-3125; fax: (201) 617-0445
Prime Asset Consulting, a unit of PaineWebber Inc., provides overall development of investment policies/objectives; overall development of appropriate asset allocation; U.S. investment and global/international manager selections, performance measurement and additional analysis; and venture capital, LBO, private investments and GIC manager selections.
For 401(k) plans, the firm provides bundled service through a mutual fund alliance, advice on which investment options to offer employees, advice on the hiring of firms offering specific investment options, record-keeping and administration services, guidance on the hiring of record-keeping service providers and investment education/communications programs for employees. It has three professionals working solely on the needs of 401(k) plans. The firm or a subsidiary offers mutual funds to 401(k) sponsors.
The firm tracks roughly 3,000 equity mutual funds, 1,500 fixed-income mutual funds and 100 money market mutual funds.
The firm has special expertise in asset allocation and investment policy.
Of the 133 tax-exempt clients on retainer, 100 are corporate, seven are public, six are union and 20 are foundation or endowment funds. The firm also provided services to 110 non-retainer tax-exempt clients during the past year, of which 83 were corporate, three were public, three were union and 21 were foundation or endowment funds.
There are 27 professional consultants. Fees are payable in both hard and soft dollars.
The firm provides the following investment vehicles: PW Access, PW Pace and PW Trust.
Tax-exempt retainer clients include City of Norfolk, City of Chattanooga, Genuine Parts Co. and Children's Hospital Endowment Fund.
Jim Chandler is client contact.
Quanvest Consultants
390 Plandome Rd., P.O. Box 401, Manhasset, N.Y. 11030; phone: (516) 365-4619; fax: (516) 365-4931
Quanvest Consultants provides overall development of investment policies/objectives; overall development of appropriate asset allocation; and U.S. investment, global/international, venture capital, LBO, private investments, derivative and GIC manager selections, performance measurement and additional analysis.
For 401(k) plans, the firm provides advice on the hiring of firms offering specific investment options.
The firm tracks 15 GIC providers, 1,000 equity mutual funds, 1,000 fixed-income mutual funds and 1,000 money market mutual funds.
Of the 32 tax-exempt clients on retainer, four are corporate, one is public, 25 are union and two are foundation or endowment funds. The firm also provided services to one non-retainer tax-exempt client during the past year, a union fund.
There are three professional consultants. Fees are payable in hard dollars.
Anthony F. Lotruglio is client contact.
Richards & Tierney Inc.
111 W. Jackson, 14th Floor, Chicago, Ill. 60604; phone: (312) 461-1100; fax: (312) 461-0001
Richards & Tierney Inc. provides overall development of appropriate asset allocation; U.S. and global/international manager selections, performance measurement and additional analysis; and venture capital, LBO and private investment performance measurement and additional analysis.
The firm has special expertise in risk control analysis.
The firm provides benchmark design and construction, evaluation of benchmark quality and performance attribution to the investment management industry.
Of the 20 tax-exempt clients on retainer, 18 are corporate, one is public, and one is a union fund. The firm also provided services to one non-retainer tax-exempt client during the past year.
There are 15 professional consultants. Fees are payable in both hard and soft dollars.
The firm provides implementation of customized investment portfolios.
Tax-exempt retainer clients include GE, IBM, Honeywell, General Mills and Delta Airlines.
T. Richards is client contact.
RogersCasey
1 Parklands Drive, Darien, Conn. 06820; phone: (203) 656-5900; fax: (203) 656-2233
RogersCasey, a unit of BARRA Inc., provides overall development of investment policies/objectives; overall development of appropriate asset allocation; and U.S. investment, global/international, venture capital, LBO, private investments, derivative and GIC manager selection, performance measurement and additional analysis.
For 401(k) plans, the firm provides advice on which investment options to offer employees, advice on the hiring of firms offering specific investment options and guidance on the hiring of record keeping service providers.
The firm tracks 50 GIC providers, 3,000 equity mutual funds, 3,500 fixed-income mutual funds and 50 money market mutual funds.
Of the 118 tax-exempt clients on retainer, 92 are corporate, 11 are public, three are union and four are foundation or endowment funds. The firm also provided services to 17 non-retainer tax-exempt clients during the past year, of which 16 were corporate and one was union.
There are 40 professional consultants. Fees are payable in both hard and soft dollars.
The firm provides the following investment vehicles: Global Developing Markets Fund and Global Developing Debt Fund.
Tax-exempt retainer clients include State of Connecticut, U S WEST, Bowater, Rush Presbyterian-St. Luke's Medical Center.
Kenneth G. Rogers is client contact.
