Federated Investors Tower, Pittsburgh, PA 15222; phone: (412) 288-1900; fax: (412) 288-2925; www.federatedinvestors.com
(No. of participants)
Total 119,541
Bundled (inc. in-house asset mgmt.) 119,541
Participants served directly 119,541
Bundled (inc. in-house asset mgmt.) 119,541
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 NUMBER SERVICES
24-hour access
Operators
Foreign language capability
Client service rep available
Account balance
Account transfers
Changes to current/future allocations
Loan request/processing
Performance data
Fund information
Retirement planning assistance
INVESTMENT MANAGEMENT SERVICES
Daily valuation
Total defined contribution assets: $9.79 billion
In-house investment management services are provided through:
Separate accounts
Commingled funds
Mutual funds
Stable value funds
External investment management services are provided through:
Mutual funds
Stable value funds
Federated Investors provides services to 590 sponsors, all for bundled services including in-house investment management.
It has partnerships with Fred Alger; American Century; Baron; Berger; Evergreen; Founders; Goldman, Sachs; ISG; Janus; Loomis, Sayles; Neuberger & Berman; Scudder; and Warburg Pincus in investment management; First Data; SunGard; Paychex; Buck; William Mercer; Milliman & Robertson; Coopers & Lybrand; and Nyhart in record keeping; CNA Trust/Nicholas-Applegate; Epic; Hewitt; National Deferred Compensation; Northern Trust Retirement; IPC Pension Services; and EMJAY in third-party administration; and uses Charles Schwab; Fidelity; First Trust; and National Securities as clearing firms.
James M. Heaton is client contact.
Fidelity Investments
82 Devonshire St., Boston, MA 02109; phone: (617) 563-7000; www.fidelity.com
(No. of participants)
Total 6,200,000
Bundled (inc. in-house asset mgmt.) 6,200,000
Participants served directly 6,200,000
Bundled (inc. in-house asset mgmt.) 6,200,000
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 NUMBER SERVICES
24-hour access
Operators
Foreign language capability
Client service rep available
Account balance
Account transfers
Changes to current/future allocations
Loan request/processing
Performance data
Fund information
Retirement planning assistance
401(k) enrollment
WEB SITE
24-hour access
Interactive e-mail
Account balance
Account transfers
Changes to current/future allocations
Loan request/processing
Performance data
Fund information
Retirement planning assistance
INVESTMENT MANAGEMENT SERVICES
Daily valuation
Total defined contribution assets: $252.99 billion
In-house investment management services are provided through:
Separate accounts
Commingled funds
Mutual funds
Stable value funds
403(b) fixed annuities
External investment management services are provided through:
Mutual funds
Stable value funds
403(b) fixed annuities
Fidelity Investments provides services to 19,484 sponsors, all for bundled services including in-house investment management.
It has partnerships with Fred Alger, AMR, Ariel, Baron, Calvert, Domini, Founders, Franklin Templeton, INVESCO, MAS, Montgomery, Neuberger Berman, Pilgrim Baxter, PIMCO, Strong, United Asset Management, USAA and Warburg Pincus in investment management; and Principal Group and Met Life for fixed annuities.
Kathy Hopkins, Jack Callahan, John Ring and Jeffrey P. Lagarce are client contacts.
First Union National Bank
301 S. Tryon St., NC 1165, Charlotte, NC 28288-1165; phone: (704) 383-4570; fax: (704) 383-6137; www.firstunion.com
(No. of participants)
Total 365,165
Bundled (inc. in-house asset mgmt.) 268,884
Record keeping/administration only 96,281
Participants served directly 365,165
Bundled (inc. in-house asset mgmt.) 268,884
Record keeping/administration only 96,281
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 NUMBER SERVICES
24-hour access
Operators
Foreign language capability
Client service rep available
Account balance
Account transfers
Changes to current/future allocations
Loan request/processing
Performance data
Fund information
Retirement planning assistance
Automated enrollment
Deferral percentage changes
Centralized distribution
Support & education
WEB SITE
24-hour access
Account balance
Performance data
Fund information
Retirement planning assistance
INVESTMENT MANAGEMENT SERVICES
Daily valuation
Total defined contribution assets: $3.5 billion
In-house investment management services are provided through:
Separate accounts
Commingled funds
Mutual funds
Stable value funds
External investment management services are provided through:
Mutual funds
First Union National Bank provides services to 1,592 sponsors: 887 for bundled services including in-house investment management and 705 for record keeping and administration only.
It has partnerships with AIM, American Century, Federated, Fidelity, Franklin Templeton, INVESCO, Janus, MFS, Neuberger Berman, Putnam and Warburg Pincus in investment management.
John Shope is client contact.
Firstar Trust Services
1555 N. River Center Drive, Suite 303, Milwaukee, WI 53212; phone: (414) 905-5322; fax: (414) 905- 5054;
www.firstarretirementplans.com
(No. of participants)
Total 120,268
Bundled (inc. in-house asset mgmt.) 120,268
Participants served directly 120,268
Bundled (inc. in-house asset mgmt.) 120,268
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 NUMBER SERVICES
24-hour access
Operators
Foreign language capability
Client service rep available
Account balance
Account transfers
Changes to current/future allocations
Loan request/processing
Performance data
Fund information
WEB SITE
24-hour access
Interactive e-mail
Account balance
Account transfers
Changes to current/future allocations
Loan request/processing
Performance data
Fund information
INVESTMENT MANAGEMENT SERVICES
Daily valuation
Total defined contribution assets: $7.8 billion
In-house investment management services are provided through:
Commingled funds
Mutual funds
Stable value funds
External investment management services are provided through:
Mutual funds
Firstar Trust Services provides services to 1,726 sponsors, all for bundled services including in-house investment management.
It has partnerships with Dodge & Cox, Neuberger Berman, Vanguard, American Century, Legg Mason, Mutual Shares, Strong, Franklin Templeton, Heartland, Longleaf, Third Avenue, Harbor, Janus, MFS, AIM, Brandywine, INVESCO, Warburg Pincus, Fasciano, T. Rowe Price and Templeton Investment in investment management.
Kelly Marzahl is client contact.
Fleet Retirement Plan Services
50 Kennedy Plaza, RI/MO/136, Providence, RI 02903; phone: (401) 278-5471; fax: (401) 621-9887; www.fleet.com
(No. of participants)
Total 123,400
Bundled (inc. in-house asset mgmt.) 106,089
Bundled (exc. in-house asset mgmt.) 17,311
Participants served directly 123,400
Bundled (inc. in-house asset mgmt.) 106,089
Bundled (exc. in-house asset mgmt.) 17,311
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 NUMBER SERVICES
24-hour access
Operators
Foreign language capability
Client service rep available
Account balance
Account transfers
Changes to current/future allocations
Loan request/processing
Performance data
Fund information
Retirement planning assistance
SECURE PRIVATE NETWORK SERVICES
Account balance
WEB SITE
24-hour access
Interactive e-mail
Performance data
Fund information
Retirement planning assistance
INVESTMENT MANAGEMENT SERVICES
Daily valuation
Total defined contribution assets: $11.9 billion
Amount passed to subadvisers: $404.8 million
In-house investment management services are provided through:
Separate accounts
Commingled funds
Mutual funds
Stable value funds
External investment management services are provided through:
Mutual funds
Fleet Retirement Plan Services provides services to 732 sponsors: 601 for bundled services, including in-house investment management, and 131 for bundled services except in-house investment management.
It has investment management partnerships with Fidelity, Putnam, INVESCO, Neuberger & Berman, Janus and Columbia.
Elliott Wislar is client contact.
Franklin Templeton
777 Mariners Island Blvd., San Mateo, CA 94404; phone: (800) 530-2432; fax: (650) 312-2248; www.franklin-templeton.com
(No. of participants)
Total 76,612
Bundled (inc. in-house asset mgmt.) 76,612
Participants served directly 76,612
Bundled (inc. in-house asset mgmt.) 76,612
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 NUMBER SERVICES
24-hour access
Operators
Foreign language capability
Client service rep available
Account balance
Account transfers
Changes to current/future allocations
Loan request/processing
Performance data
Fund information
Retirement planning assistance
WEB SITE
Performance data
Fund information
Retirement planning assistance
INVESTMENT MANAGEMENT SERVICES
Daily valuation
Total defined contribution assets: $14.51 billion
In-house investment management services are provided through:
Separate accounts
Commingled funds
Mutual funds
Stable value funds
External investment management services are provided through:
Separate accounts
Commingled funds
Mutual funds
Stable value funds
Franklin Templeton provides services to 508 sponsors, all for bundled services, including in-house investment management.
It has more than 80 partnerships in investment management, record keeping and third-party administration.
Murray Cleaner is client contact.
