Gabelli Funds Inc.
1 Corporate Center, Rye, NY 10520; phone: (800) GABELLI; fax: (914) 921-5118; www.gabelli.com
(No. of participants)
Total 718
Bundled (inc. in-house asset mgmt.) 718
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
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
Interactive e-mail
Performance data
Fund information
Retirement planning assistance
INVESTMENT MANAGEMENT SERVICES
Daily valuation
Total defined contribution assets: $10 million
In-house investment management services are provided through:
Mutual funds
Stable value funds
Gabelli Funds Inc. provides services to 10 sponsors, all for bundled services, including in-house investment management.
It has partnerships with Trustar and Boston Financial in record keeping, and Trustar in third-party administration.
Mayo Smith is client contact.
Gallagher ABOW Inc.
1050 Wilshire Drive, Suite 250, Troy, MI 48084; phone: (248) 649- 1990; fax: (248) 649-4978;
www.gallagher-abow.com
(No. of participants)
Total 42,000
Bundled (exc. in-house asset mgmt.) 42,000
Participants served directly 41,000
Bundled (exc. in-house asset mgmt.) 41,000
SERVICES PROVIDED:
Plan design
Employee meetings
Generic employee communications
Customized employee communications
Compliance and reporting
Consulting services
TOLL-FREE NUMBER SERVICES
24-hour access
Operators
Client service rep available
Account balance
Account transfers
Changes to current/future allocations
Loan request/processing
Performance data
INVESTMENT MANAGEMENT SERVICES
Daily valuation
External investment management services are provided through:
Separate accounts
Commingled funds
Mutual funds
Stable value funds
Gallagher ABOW Inc. provides services to 260 sponsors, all for bundled services except in-house investment management.
It has a partnership with a registered investment adviser in investment management.
Craig Arnold is client contact.
GE Investments
777 Long Ridge Road, Building B, Stamford, CT 06927; phone: (203) 708-1449; fax: (203) 703-1916; www.ge.com/mutualfunds
(No. of participants)
Total 239,380
Bundled (inc. in-house asset mgmt.) 239,380
Participants served directly 239,380
Bundled (inc. in-house asset mgmt.) 239,380
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
24-hour access
Account balance
Account transfers
Changes to current/future allocations
Performance data
Fund information
Retirement planning assistance
INVESTMENT MANAGEMENT SERVICES
Daily valuation
Total defined contribution assets: $8.24 billion
In-house investment management services are provided through:
Separate accounts
Mutual funds
Stable value funds
External investment management services are provided through:
Separate accounts
Mutual funds
Stable value funds
GE Investments provides services to 40 sponsors, all for bundled services, including in-house investment management.
It has partnerships with State Street Bank & Trust, Montgomery, J.P. Morgan, Palisades, NWQ and Morgan Stanley Dean Witter in investment management; and State Street Bank & Trust in record keeping.
John T. Boyce is client contact.
Guardian Insurance & Annuity Co. Inc.
201 Park Ave. S., New York, NY 10003; phone: (800) 847-4015; fax: (610) 807-6900;
www.guardianretirement.com; www.theguardian.com
(No. of participants)
Total 100,000
Bundled (inc. in-house asset mgmt.) 100,000
Participants served directly 100,000
Bundled (inc. in-house asset mgmt.) 100,000
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
Performance data
Fund information
WEB SITE
24-hour access
Account balance
Account transfers
Changes to current/future allocations
Performance data
Fund information
Retirement planning assistance
S&P education articles
INVESTMENT MANAGEMENT SERVICES
Daily valuation
Total defined contribution assets: $1.48 billion
Amount passed to subadvisers: $683 million
In-house investment management services are provided through:
Separate accounts
Mutual funds
Stable value funds
Fixed-rate investments
External investment management services are provided through:
Separate accounts
Mutual funds
Stable value funds
Guardian Insurance & Annuity Co. Inc. provides services to 4,572 sponsors, all for bundled services, including in-house investment management.
It has partnerships with Guardian Investors, AIM, American Century, Dreyfus, Fidelity, Janus and MFS in investment management; and selected third-party administrators in record keeping.
