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July 26, 1999 01:00 AM

(M) MONEY MANAGERS DIRECTORY: DEFINED CONTRIBUTION INVESTMENT ADVISOR PROFILES

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    Manning & Napier Advisors

    1 Chase Square, Suite 1100, Rochester, NY 14604; phone: (716) 325-6880; fax: (716) 325-1984

    ($ millions)

    Total DC assets 1,210

    Internally managed 1,210

    Plan type:

    401(k) 176

    Money purchase/profit sharing 1,034

    Investment vehicle:

    Mutual funds 35

    Separate accounts 983

    Other commingled 192

    Lifecycle/asset allocation assets 1,025

    Marshall & Ilsley Trust Co.

    1000 N. Water St., Milwaukee, WI 53202; phone: (414) 287-8726; fax: (414) 287-7165; mitrust.com

    ($ millions)

    Total DC assets 6,971

    Internally managed 1,655

    Plan type:

    401(k) 1,650

    403(b) 5

    Investment vehicle:

    Mutual funds 1,089

    Separate accounts 160

    Other commingled 406

    Lifecycle/asset allocation assets 370

    Asset mix:

    Stocks 45%

    Bonds 20%

    Cash 5%

    Stable value 30%

    Client contact: Shannon Brimmer

    Marshall & Sullivan Inc.

    1001 Fourth Ave. Plaza, Suite 4131, Seattle, WA 98154; phone: (206) 621-9014; fax: (206) 682-9075

    ($ millions)

    Total DC assets 121

    Internally managed 121

    Investment vehicle:

    Separate accounts 121

    Asset mix:

    Stocks 81.4%

    Bonds 12.7%

    Cash 5.9%

    Client contact: Victor Harned

    Massachusetts Mutual Life Insurance Co.

    1295 State St., N228, Springfield, MA 01111; phone: (413) 788-8411; fax: (413) 744-7080; www.massmutual.com

    ($ millions)

    Total DC assets 17,474

    Internally managed DC 16,474

    Plan type:

    401(k) 13,299

    403(b) 2,929

    457 44

    Profit sharing 202

    Investment vehicle:

    Mutual funds 5,454

    Separate accounts 1,068

    Other commingled 9,952

    Lifecycle/asset allocation assets 1,766

    Asset mix:

    Stocks 71%

    Bonds 3%

    Cash 1%

    Stable value 25%

    Client contact: Frederick Castellani

    Mastrapasqua & Associates

    814 Church St., Suite 600, Nashville, TN 37203; phone: (615) 244-8400; fax: (615) 242-2125; mastrapasqua.com

    ($ millions)

    Total DC assets 28

    Internally managed DC 28

    Plan type:

    401(k) 2

    Profit sharing/money purchase 26

    Investment vehicle:

    Separate accounts 28

    Asset mix:

    Stocks 98%

    Cash 2%

    Client contact: Kari Crist

    Mazama Capital Management LLC

    1 S.W. Columbia, Suite 1860, Portland, OR 97258; phone: (503) 221-8725; fax: (503) 221-8738

    ($ millions)

    Total DC assets 54

    Internally managed 54

    Plan type:

    401(k) 18

    457 36

    Investment vehicle:

    Separate accounts 54

    Asset mix:

    Stocks 98%

    Bonds 1%

    Cash 1%

    Client contact: Jill Collins

    McDonald Capital Investors

    1 Maritime Plaza, Suite 1300, San Francisco, CA 94111; phone: (415) 981-5401; fax: (415) 981-1324

    ($ millions)

    Total DC assets 33

    Internally managed 33

    Plan type:

    401(k) 16

    Profit participation 17

    Asset mix:

    Stocks 92%

    Cash 8%

    Client contact: Linda Udall

    McMorgan & Co.

    1 Bush St., Suite 800, San Francisco, CA 94104; phone: (415) 788-9300; fax: (415) 616-9386

    ($ millions)

    Total DC assets 2,326

    Internally managed 2,326

    Investment vehicle:

    Separate accounts 2,326

    Asset mix:

    Stocks 89%

    Bonds 10%

    Cash 1%

    Client contact: Brian Morton

    Mellon Capital Management

    595 Market St., 30th Floor, San Francisco, CA 94105; phone:

    (415) 546-6056; fax: (415) 975-2375

    ($ millions)

    Total DC assets 4,717

    Internally managed 4,717

    Investment vehicle:

    Separate accounts 36

    Other commingled 4,681

    Lifecycle/asset allocation assets 1,411

    Asset mix:

    Stocks 67%

    Bonds 3%

    Other 30%

    Client contact: Susan Haskins

    Mellon Equity Associates

    500 Grant St., Suite 4200, Pittsburgh, PA 15258-0001; phone: (412) 234-7317; fax: (412) 234-0625

    ($ millions)

    Total DC assets 1,706

    Internally managed DC 1,706

    Plan type:

    401(k) 18

    Savings 1,688

    Investment vehicle:

    Mutual funds 337

    Separate accounts 920

    Other commingled 449

    Lifecycle/asset allocation assets 374

    Asset mix:

    Stocks 71%

    Bonds 29%

    Client contact: David K. Penz

    Merganser Capital Management Corp.

    1 Cambridge Center, Cambridge, MA 02142; phone: (617) 494-1000; fax: (617) 528-4841

    ($ millions)

    Total DC assets 429

    Internally managed 429

    Plan type:

    401(k) 429

    Investment vehicle:

    Separate accounts 429

    Asset mix:

    Bonds 100%

    Client contact: Edward Bedrosian

    Meridian Management Co.

    415 N. McKinley, Suite 1200, Little Rock, AR 72205; phone: (501) 663-7055; fax: (501) 663-2405

    ($ millions)

    Total DC assets 156

    Internally managed 156

    Plan type:

    401(k) 156

    Investment vehicle:

    Separate accounts 130

    Other commingled 26

    Asset mix:

    Stocks 56%

    Bonds 34%

    Cash 10%

    Client contact: David Falconer

    Merrill Lynch & Co.

    800 Scudders Mill Road, Plainsboro, NJ 08536; phone: (609) 282-4622; fax: (609) 282-0806; www.ml.com

    ($ millions)

    Total DC assets* 39,100

    Internally managed 39,100

    * Assets reported in P&I's 1999 survey of mutual funds most used by defined contribution plans

    Merrill Lynch Mercury Asset Management

    725 S. Figueroa, Suite 4000, Los Angeles, CA 90017; phone: (213) 430-1000; fax: (213) 430-1014; www.ml.com

    ($ millions)

    Total DC assets 475

    Internally managed 475

    Plan type:

    401(k) 475

    Investment vehicle:

    Separate accounts 475

    Asset mix:

    Stocks 89%

    Other 11%

    Client contacts: Don Steinbrugge and Kevin Welsh

    Messner & Smith Theme/Value Investment

    Management Ltd.

    450 B St., Suite 780, San Diego, CA 92101-8001; phone: (619) 239-9049; fax: (619) 239-0838

    ($ millions)

    Total DC assets 15

    Internally managed 15

    Plan type:

    401(k) 1

    Profit sharing 14

    Investment vehicle:

    Separate accounts 15

    Asset mix:

    Stocks 80%

    Bonds 20%

    Client contact: John Messner

    Metropolitan Life Insurance

    99 High St., 32nd Floor, Boston, MA 02110-2320; phone: (617) 574-3969; fax: (617) 292-0457; www.metlife.com

    ($ millions)

    Total DC assets* 40,000

    Internally managed 40,000

    *Assets as of Dec. 31, 1997

    Metropolitan West Asset Management

    11766 Wilshire Blvd., Suite 1580, Los Angeles, CA 90025; phone: (310) 966-8900; fax: (310) 966-8951

    ($ millions)

    Total DC assets 78

    Internally managed 78

    Investment vehicle:

    Separate accounts 78

    Asset mix:

    Bonds 100%

    Metropolitan West Capital Management

    610 Newport Center Drive, Suite 150, Newport Beach, CA 92660; phone: (949) 718-9701; fax: (949) 718-9711; www.mws.com

    ($ millions)

    Total DC assets 13

    Internally managed 13

    Plan type:

    401(k) 3

    Profit sharing 10

    Investment vehicle:

    Separate accounts 13

    Asset mix:

    Stocks 66%

    Bonds 27%

    Cash 7%

    Client contact: Steven M. Borowski

    MFS Investment Management

    500 Boylston St., Boston, MA 02116; phone: (617) 954-5514; fax: (617) 954-6657; www.mfs.com

    ($ millions)

    Total DC assets 9,084

    Internally managed 9,084

    Plan type:

    401(k) 6,747

    403(b) 613

    457 27

    Other 1,697

    Investment vehicle:

    Mutual funds 9,084

    Asset mix:

    Stocks 71.2%

    Bonds 6.5%

    Cash 4.2%

    Stable value 3.9%

    Other 14.2%

    Client contact: John Campbell

    Miller Howard Investments

    141 Upper Byrdcliff Road, P.O. Box 549, Woodstock, NY 12498; phone: (914) 679-9166; fax: (914) 679-5862

    ($ millions)

    Total DC assets 23

    Internally managed 23

    Plan type:

    401(k) 23

    Investment vehicle:

    Other commingled 23

    Asset mix:

    Stocks 93.8%

    Cash 6.2%

    Client contact: Helen Hamada

    Mississippi Valley Advisors

    7th & Washington, Suite 2100, St. Louis, MO 63101; phone: (314) 418-1234; fax: (314) 418-8305

    ($ millions)

    Total DC assets 950

    Internally managed 950

    Plan type:

    401(k) 750

    403(b) 40

    457 50

    Profit sharing 110

    Investment vehicle:

    Mutual funds 920

    Other commingled 30

    Asset mix:

    Stocks 55%

    Bonds 35%

    Cash 10%

    Client contact: Dennis Nahnsen

    Mitchell Hutchins Asset Management Inc.

    1285 Avenue of the Americas, 15th Floor, New York, NY 10019; phone: (212) 713-4000; fax: (212) 247-4876

    ($ millions)

    Total DC assets 1,021

    Internally managed 1,021

    Plan type:

    401(k) 618

    Profit sharing 403

    Investment vehicle:

    Separate accounts 444

    Other commingled 577

    Asset mix:

    Stocks 12%

    Bonds 30%

    Cash 8%

    Stable value 50%

    Client contact: William Gordon

    Montag & Caldwell Inc.

    3343 Peachtree Road N.E., 1100 Atlanta Financial Center, Atlanta, GA 30326-1022; phone: (404) 262-0107; fax: (404) 262-0164

    ($ millions)

    Total DC assets 1,012

    Internally managed 1,012

    Plan type:

    401(k) 273

    Profit sharing 739

    Investment vehicle:

    Separate accounts 1,012

    J.P. Morgan Investment Management Inc.

    522 Fifth Ave., New York, NY 10036; phone: (212) 837-2408; fax: (212) 837-1067; www.jpmorgan.com

    ($ millions)

    Total DC assets 13,640

    Internally managed 13,640

    Plan type:

    401(k) 13,583

    403(b) 57

    Investment vehicle:

    Mutual funds 601

    Separate accounts 9,236

    Other commingled 3,803

    Lifecycle/asset allocation assets 1,895

    Asset mix:

    Stocks 33%

    Bonds 14%

    Cash 3%

    Stable value 50%

    Client contact: Shiv Mehta

    Morgan Stanley Dean Witter Investment Management

    1221 Avenue of the Americas, New York, NY 10020; phone: (212) 762-4000; fax: (212) 762-7401; msdw.com

    ($ millions)

    Total DC assets 14,500

    Internally managed 14,500

    Plan type:

    401(k) 14,150

    403(b) 50

    457 300

    Investment vehicle:

    Mutual funds 13,300

    Separate accounts 1,200

    Lifecycle/asset allocation assets 13

    Asset mix:

    Stocks 73%

    Bonds 25%

    Stable value 2%

    Client contact: Gregg Robinson

    Morley Capital Management

    5665 S.W. Meadows Road, Suite 400, Lake Oswego, OR 97035; phone: (800) 548-4806; fax: (503) 603-2290; www.morley.com

    ($ millions)

    Total DC assets 6,500

    Internally managed 6,500

    Plan type:

    401(k) 3,800

    457 375

    Profit-sharing/Taft-Hartley 2,325

    Investment vehicle:

    Separate accounts 2,860

    Other commingled 3,640

    Asset mix:

    Stable value 100%

    Client contact: Greg Ellis

    Morse, Williams & Co. Inc.

    230 Park Ave., Suite 1635, New York, NY 10169; phone: (212) 856-8200; fax: (212) 856-8240; morsewilliams.com

    ($ millions)

    Total DC assets 43

    Internally managed 43

    Plan type:

    Profit-sharing 43

    Investment vehicle:

    Separate accounts 43

    Client contact: Michael Linburn

    Munder Capital Management

    480 Pierce St., Suite 300, Birmingham, MI 48009; phone: (248) 647-9200; fax: (248) 647-5931; www.munder.com

    ($ millions)

    Total DC assets 1,222

    Internally managed DC 1,221

    Plan type:

    401(k) 895

    403(b) 2

    457 7

    Other 317

    Investment vehicle:

    Mutual funds 1,000

    Other commingled 221

    Lifecycle/asset allocation assets 25

    Asset mix:

    Stocks 63.6%

    Bonds 11.6%

    Cash 4.3%

    Stable value 13.5%

    Other 7.0%

    Client contact: Ann Putallaz

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