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
