Manulife Financial
P.O. Box 600, Buffalo, NY 14201- 0600; phone: (617) 854-8651; fax: (617) 854-8787;
www.manulife.com
(No. of participants)
Total 395,130
Bundled (inc. in-house asset mgmt.) 395,130
Participants served directly 395,130
Bundled (inc. in-house asset mgmt.) 395,130
SERVICES PROVIDED:
Plan design
Employee meetings
Generic employee investment education
Generic employee communications
TOLL-FREE NUMBER SERVICES
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
Account balance
Account transfers
Changes to current/future allocations
Performance data
Fund information
INVESTMENT MANAGEMENT SERVICES
Daily valuation
Total defined contribution assets: $6.95 billion
Amount passed to subadvisers: $4.16 billion
In-house investment management services are provided through:
Separate accounts
Commingled funds
Stable value funds
Manulife Financial provides services to 9,461 sponsors, all for bundled services, including in-house investment management.
It has partnerships with a network of local third-party administrators.
Jackie DiGiovanni is client contact.
Marshall & Ilsley Trust Co.
1000 N. Water St., Milwaukee, WI 53202; phone: (800) 236-3500; fax: (414) 287-7165;
www.mitrust.com
(No. of participants)
Total 245,000
Bundled (inc. in-house asset mgmt.) 207,000
Bundled (exc. in-house asset mgmt.) 23,000
Record keeping/administration only 15,000
Participants served directly 245,000
Bundled (inc. in-house asset mgmt.) 207,000
Bundled (exc. in-house asset mgmt.) 23,000
Record keeping/administration only 15,000
SERVICES PROVIDED:
Plan design
Employee meetings
Generic employee investment education
Customized employee investment education
Generic employee communications
Customized employee communications
Compliance and reporting
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
Statements/forms
PIN changes
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
Statements/forms
PIN changes
INVESTMENT MANAGEMENT SERVICES
Daily valuation
Total defined contribution assets: $1.7 billion
Amount passed to subadvisers: $47 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:
Separate accounts
Commingled funds
Mutual funds
Stable value funds
Marshall & Ilsley Trust Co. provides services to 723 sponsors: 650 for bundled services, including in-house investment management; 70 for bundled services, except in-house investment management; and three for record keeping and administration only.
It uses the Sungard Expediter alliance in investment management.
Thomas White is client contact.
MassMutual Retirement
Services
1295 State St., Springfield, MA 01111; phone: (800) 228-2479; fax: (413) 744-3201;
www.massmutual.com
(No. of participants)
Total 330,000
Bundled (inc. in-house asset mgmt.) 330,000
Participants served directly 330,000
Bundled (inc. in-house asset mgmt.) 330,000
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
WEB SITE
24-hour access
Interactive e-mail
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: $17.5 billion
In-house investment management services are provided through:
Separate accounts
Stable value funds
External investment management services are provided through:
Separate accounts
MassMutual Retirement Services provides services to 3,200 sponsors, all for bundled services, including in-house investment management.
It has partnerships with OppenheimerFunds, David L. Babson, Fidelity, OpCap, BGI, T. Rowe Price, American Century and MFS in investment management; and Investors Bank & Trust for trustee services.
Fred Castellani is client contact.
Merrill Lynch & Co. Inc.
800 Scudders Mill Road, Plainsboro, NJ 08536; phone: (609) 282- 2664; fax: (609) 282-0344; www.ml.com
(No. of participants)
Total 3,500,000
Bundled (inc. in-house asset mgmt.) 3,500,000
Participants served directly 3,500,000
Bundled (inc. in-house asset mgmt.) 3,500,000
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
Modeling
SECURE PRIVATE NETWORK SERVICES
24-hour access
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
Modeling
WEB SITE
24-hour access
Interactive e-mail
Client service rep available
Account balance
Account transfers
Changes to current/future allocations
Performance data
Fund information
Retirement planning assistance
Modeling
INVESTMENT MANAGEMENT SERVICES
Daily valuation
Total defined contribution assets: $132.8 billion
In-house investment management services are provided through:
Separate accounts
Mutual funds
Stable value funds
External investment management services are provided through:
Mutual funds
Stable value funds
Merrill Lynch & Co. Inc. provides services to 16,000 sponsors, all for bundled services, including in-house investment management.
It has partnerships with AIM, Fred Alger, Alliance, BlackRock, Brinson, Calvert, Chase, Conseco, Davis Selected, Dean, Dreyfus, Evergreen, Federated, Franklin Templeton, Global Asset, GT Global, Hotchkis & Wiley, Ivy, John Hancock, Lazard Freres, Lord Abbett, Mercury Funds, Managers Funds, Mainstay, MFS, Montgomery, Munder, New England, Nicholas-Applegate, Northstar, Oppenheimer, O'Shaughnessy, Phoenix-Engemann, PIC, PIMCO, Pioneer, Safeco, Seligman, State Street, Van Kampen, Wells Fargo and Zweig in investment management; and Paychex in record keeping.
Alan J. Kizor is client contact.
MetLife
1 Madison Ave., New York, NY 10010; phone: (212) 578-3181; fax: (212) 578-4176; www.metlife.com
(No. of participants)
Total 2,702,772
Bundled (inc. in-house asset mgmt.) 459,297
Record keeping/administration only 2,243,475
Participants served directly 2,702,772
Bundled (inc. in-house asset mgmt.) 459,297
Record keeping/administration only 2,243,475
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
Listen and learn educational dialogues
SECURE PRIVATE NETWORK SERVICES
24-hour access
Account balance
Account transfers
Changes to current/future allocations
Loan request/processing
Performance data
Fund information
Retirement planning assistance
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
Click and learn educational dialogues
INVESTMENT MANAGEMENT SERVICES
Daily valuation
Total defined contribution assets: $41.9 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
Self-directed brokerage accounts
MetLife provides services to 5,353 sponsors: 4,017 for bundled services, including in-house investment management, and 1,336 for record keeping and administration only.
It has investment management partnerships with American Century; American Funds; Bankers Trust; Baron; Delaware; Dimensional Fund Advisors; Dodge & Cox; Evergreen; Federated; Fidelity; Founders; Franklin Templeton; Oakmark Funds; American Express; J.P. Morgan; Janus; Kobrick Cendant; Loomis, Sayles; Neuberger Berman; Pilgrim Baxter; PIMCO; Rainier; Reich & Tang; Scudder Kemper; SEI; State Street Research; New England Funds; UAM Assets; and Warburg Pincus.
Gary Lineberry is client contact.
MFS Retirement Services
500 Boylston St., Boston, MA 02116; phone: (800) 343-2829, ext. 3053; fax: (617) 954-6685; www.mfs.com
(No. of participants)
Total 410,724
Bundled (inc. in-house asset mgmt.) 410,724
Participants served directly 410,724
Bundled (inc. in-house asset mgmt.) 410,724
SERVICES PROVIDED:
Plan design
Employee meetings
Generic employee investment education
Customized employee investment education
Generic employee communications
Customized employee communications
Compliance and reporting
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
Statements on demand
Enrollment
WEB SITE
24-hour access
Interactive e-mail
Account balance
Account transfers
Changes to current/future allocations
Performance data
Fund information
Retirement planning assistance
Statements on demand
Interactive retirement/investing tools
Literature download
INVESTMENT MANAGEMENT SERVICES
Daily valuation
Total defined contribution assets: $10.1 billion
In-house investment management services are provided through:
Mutual funds
Stable value funds
External investment management services are provided through:
Mutual funds
Stable value funds
MFS Retirement Services Inc. provides services to 4,853 sponsors, all for bundled services, including in-house investment management.
Matthew D. Gannon is client contact.
Milliman & Robertson Inc.
1301 Fifth Ave., Suite 3800, Seattle, WA 98101-2605; phone: (206) 624-7940; fax: (206) 504-5524; www.milliman.com
(No. of participants)
Total 309,618
Bundled (exc. in-house asset mgmt.) 90,309
Record keeping/administration only 219,309
Participants served directly 309,618
Bundled (exc. in-house asset mgmt.) 90,309
Record keeping/administration only 219,309
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
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
Milliman & Robertson Inc. provides services to 1,673 sponsors: 1,145 for bundled services except in-house investment management, and 528 for record keeping and administration only.
It has partnerships with Charles Schwab and Salomon Smith Barney in investment management.
Janet M. Rubenstein is client contact.
Minnesota Life
400 Robert St. N., St. Paul, MN 55101; phone: (651) 665-4701; fax: (651) 665-6327;
www.minnesotamutual.com
(No. of participants)
Total 135,000
Bundled (inc. in-house asset mgmt.) 135,000
Participants served directly 135,000
Bundled (inc. in-house asset mgmt.) 135,000
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
Enrollments
Statements on demand
Distribution calculations
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
Enrollments
Statements on demand
Distribution calculations
INVESTMENT MANAGEMENT SERVICES
Daily valuation
Total defined contribution assets: $2.8 billion
In-house investment management services are provided through:
Separate accounts
External investment management services are provided through:
Separate accounts
Minnesota Life provides services to 1,938 sponsors: 1,665 for bundled services, including in-house investment management, and 273 for record keeping and administration only.
It has investment management partnerships with Warburg Pincus, Vanguard, T. Rowe Price, Wilshire, Fidelity, Janus, Domini, UAM, Franklin Templeton, Pilgrim Baxter, Scudder Kemper and PIMCO.
Terri McNamara is client contact.
Morgan Stanley Dean Witter
1585 Broadway, New York, NY 10020; phone: (800) 354-8185; www.msdw.com
(No. of participants)
Total 450,000
Bundled (inc. in-house asset mgmt.) 300,000
Bundled (exc. in-house asset mgmt.) 150,000
Participants served directly 450,000
Bundled (inc. in-house asset mgmt.) 300,000
Bundled (exc. in-house asset mgmt.) 150,000
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
Retirement planning assistance
WEB SITE
24-hour access
Account balance
Performance data
Fund information
Retirement planning assistance
INVESTMENT MANAGEMENT SERVICES
Daily valuation
Total defined contribution assets: $14.5 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
Morgan Stanley Dean Witter provides services to 8,332 sponsors: 7,916 for bundled services, including in-house investment management, and 416 for bundled services except in-house investment management.
It has partnerships with seven fund families in investment management; and Fidelity, Hewitt, Pan-American, Manulife, Ameritas, CIGNA, J.P. Morgan/American Century, Key Bank, PwC Kwasha, Pacific Life, Nationwide, Scudder Kemper, Putnam, Mellon/Dreyfus and Mass Mutual in record keeping.
Gregg Robinson is client contact.
