Pacific Investment Management Co.
840 Newport Center Drive, Suite 300, Newport Beach, CA 92658-6430; phone: (714) 640-3031; fax: (714) 759-7578; www.pimco.com
($ millions)
Total DC assets 9,368
Internally managed DC 9,368
Plan type:
401(k) 9,368
Investment vehicle:
Mutual funds 2,526
Separate accounts 6,842
Asset mix:
Bonds 43%
Stable value 57%
Client contact: Brent R. Harris
Pacific Life Insurance Co.
700 Newport Center Drive, Newport Beach, CA 92660; phone: (800) 800-7646; fax: (714) 759-3372; www.pacificlife.com
($ millions)
Total DC assets 5,628
Internally managed DC 3,511
Investment vehicle:
Other commingled 3,511
Asset mix:
Stable value 100%
Client contact: James Males
PanAgora Asset Management
260 Franklin St., Boston, MA 02110; phone: (617) 439-6300; fax: (617) 439-6675; panagora.com
($ millions)
Total DC assets 1,423
Internally managed DC 1,423
Plan type:
401(k) 775
457 648
Investment vehicle:
Mutual funds 21
Separate accounts 754
Other commingled 648
Life cycle assets 718
Asset mix:
Stocks 70%
Bonds 14%
Cash 16%
Client contact: M. Fraser Blakely
Parnassus Investments
1 Market Plaza, Stewart Tower, #1600, San Francisco, CA 94105; phone: (415) 778-0200; fax: (415) 778-0229; www.parnassus.com
($ millions)
Total DC assets 200
Internally managed DC 200
Plan type:
401(k) 50
403(b) 50
457 25
IRAs 75
Investment vehicle:
Mutual funds 195
Other commingled 5
Asset mix:
Stocks 100%
Client contact: William A. Thomason
Payden & Rygel
333 S. Grand Ave., 32nd Floor, Los Angeles, CA 90071; phone: (213) 625-1900; fax: (213) 628-8488; www.payden.com
($ millions)
Total DC assets 9,412
Internally managed DC 9,412
Plan type:
401(k) 9,412
Investment vehicle:
Mutual funds 1,358
Separate accounts 7,824
Other commingled 230
Asset mix:
Stocks 2%
Bonds 98%
Client contact: Brian W. Matthews
Peregrine Capital Management
800 LaSalle Ave., Suite 1850, Minneapolis, MN 55402; phone: (612) 343-7600; fax: (616) 343-7631
($ millions)
Total DC assets 103
Internally managed DC 103
Plan type:
401(k) 14
Other 89
Investment vehicle:
Separate accounts 103
Asset mix:
Stocks 86%
Bonds 14%
Client contact: Julie M. Gerend
Phoenix Investment Management Co. LP
1 Citizens Plaza, Providence, RI 02903; phone: (401) 331-6650; fax: (401) 751-4575
($ millions)
Total DC assets 954
Internally managed DC 954
Plan type:
401(k) 728
403(b) 93
Other 133
Investment vehicle:
Mutual funds 941
Separate accounts 13
Client contact: Paul Atkins and Don Gingery
Pilgrim Baxter & Associates
825 Duportail Road, Wayne, PA 19087; phone: (610) 647-4100; fax: (610) 722-5844;www.pbhgfunds.com
($ millions)
Total DC assets 1,900
Internally managed DC 1,900
Plan type:
401(k) 1,800
403(b) 50
457 50
Investment vehicle:
Mutual funds 1,900
Asset mix:
Stocks 100%
Pioneering Management
60 State St., Boston, MA 02109; phone: (617) 742-7825; fax: (617) 422-4283; www.pioneerfunds.com
($ millions)
Total DC assets 1,140
Internally managed DC 1,140
Plan type:
401(k) 222
403(b) 704
457 1
Other 213
Investment vehicle:
Mutual funds 1,136
Variable annuities 4
Asset mix:
Stocks 93%
Bonds 3%
Cash 4%
Client contact: Christopher C. Abbott
Polen Capital Management
14502 N. Dale Mabry, Suite 303, Tampa, FL 33618; phone: (813) 265-3565; fax: (813) 969-4150; www.polencapital.com
($ millions)
Total DC assets 41
Internally managed DC 41
Plan type:
401(k) 4
Profit sharing 37
Investment vehicle:
Separate accounts 38
Other commingled 3
Asset mix:
Stocks 92.5%
Cash 7.5%
Client contact: Jay Folz
T. Rowe Price Associates
100 E. Pratt St., Baltimore, MD 21202; phone: (410) 345-2000; fax: (410) 345-2349; www.troweprice.com
($ millions)
Total DC assets 42,599
Internally managed DC 36,700
Plan type:
401(k) 27,782
403(b) 1,526
457 4,488
Other 2,904
Investment vehicle:
Mutual funds 23,201
Separate accounts 7,173
Other commingled 6,326
Life cycle assets 2,756
Asset mix:
Stocks 71%
Bonds 7%
Cash 7%
Stable value 15%
Client contact: R. Todd Ruppert
711 High St., Des Moines, IA 50392; phone: (515) 247-5111; fax: (515) 235-5611; principal.com
($ millions)
Total DC assets 35,545
Internally managed DC 35,273
Plan type:
401(k) 28,809
403(b) 285
457 211
Other 5,968
Investment vehicle:
Mutual funds 37
Other commingled 35,236
Life cycle assets 980
Asset mix:
Stocks 42.8%
Bonds 4.7%
Cash 3.5%
Stable value 48.3%
Other .0.7%
Client contact: James F. Sager
Provident Mutual Life Insurance Co.
1050 Westlakes Drive, Berwyn, PA 19312; phone: (800) 523-4681; fax: (610) 407-1981; www.providentmutual.com
($ millions)
Total DC assets 732
Internally managed DC 732
Plan type:
401(k) 431
457 6
Other 295
Investment vehicle:
Separate accounts 413
Other commingled 319
Life cycle assets 72
Asset mix:
Stocks 46%
Bonds 8%
Cash 1%
Stable value 45%
Client contact: Steven Schweitzer
Prudential Insurance Company of America
751 Broad St., Newark, NJ 07102; phone: (973) 802-2728; fax: (973) 802-9851; prudential.com
($ millions)
Total DC assets 50,966
Internally managed DC 50,800
Plan type:
401(k) 41,600
403(b) 7,400
457 1,800
Investment vehicle:
Mutual funds 22,700
Variable annuities 1,200
Separate accounts 8,000
Other commingled 18,900
Asset mix:
Stocks 46%
Bonds 7%
Cash 4%
Stable value 38%
Other 5%
Client contact: Bruce Dalziel
Putnam Investments
1 Post Office Square, Boston, MA 02109; phone: (617) 292-1000; www.putnaminv.com
($ millions)
Total DC assets* 26,620
Internally managed DC 26,620
Plan type:
401(k) 26,270
403(b) 100
457 250
Investment vehicle:
Mutual funds 22,480
Separate accounts 2,495
Other commingled 1,645
Life cycle assets 2,160
Asset mix:
Stocks 76%
Bonds 8%
Cash 3%
Stable value 13%
*Data as of Dec. 31
Client contact: John Brown
