Gabelli Asset Management
1 Corporate Center, Rye, NY 10580; phone: (914) 921-5000; fax: (914) 921-5060; www.gabelli.com
RECORD-KEEPING
Total DC assets record kept ($ millions) 17,367
For plans with:
Fewer than 100 employees 5,451
100-499 employees 11,916
DC clients:
Corporate 401(k) 12
Percentage of assets under record keeping in:
Proprietary investments 100%
SERVICES PROVIDED:
Discrimination testing
Form 5500
1099s
State/federal tax withholding
Prototype plan document
Plan design
Customized plan documents
Summary plan descriptions
404(c) compliance
Ongoing plan compliance
Investment policy preparation
Standardized education print materials
Standardized communications
Customized communications
Fund information
Investment performance
Finance/retirement planning materials
Investment advice
Employee meetings
Employee one-on-one meetings
SERVICES VIA VOICE RESPONSE/OPERATOR/INTERNET
Enrollment - v-o
Contribution rate change - v-o
Investment election change - v-o
Transfer request - v-o
Loan request/note preparation - o
Rollovers - o
QDROs form request - o
Distribution - o
Hardship withdrawal - o
Address change - o
Questions on employee statement - o
Questions on distributions - o
Investment information - v-o-i
Prospectus/statement requests - v-o-i
Daily valuation - v-o
INVESTMENT MANAGEMENT:
Assets under management ($ millions):
Total DC assets managed 1,679
Internally managed DC assets 1,679
In-house investment management services are provided through:
Mutual funds
Separate accounts
STAFFING:
Record-keeping operations 71
Compliance/testing/plan design 38
Information technology 59
Investment analysis/due diligence 6
Dedicated conversion/installation 20
Relationship managers 2
Douglas R. Jamieson is client contact.
Gallagher Benefit Services of Michigan Inc.
2800 Livernois, Suite 450, P.O. Box 7007, Troy, MI 48007-7007; phone: (248) 528-6630; fax: (248) 457-8414; www.gbsmi.com
RECORD-KEEPING
Total DC assets record kept ($ millions) 675
DC clients:
Corporate 401(k) 277
Other 401(k) 50
457 25
403(b) 15
Other DC 50
SERVICES PROVIDED:
Discrimination testing
Form 5500
1099s
State/federal tax withholding
Prototype plan document
Plan design
Customized plan documents
Summary plan descriptions
404(c) compliance
Ongoing plan compliance
Investment policy preparation
Standardized education print materials
Customized education print materials
Standardized communications
Customized communications
Fund information
Investment performance
Finance/retirement planning materials
Investment advice
Employee meetings
Employee one-on-one meetings
SERVICES VIA VOICE RESPONSE/OPERATOR/INTERNET
Enrollment - o
Contribution rate change - v-o-i
Investment election change - v-o-i
Transfer request - v-o-i
Loan request/note preparation - o
Rollovers - o
QDROs form request - o
Distribution - o
Hardship withdrawal - o
Address change - v-o-i
Questions on employee statement - v-o-i
Questions on distributions - v-o-i
Investment information - v-o-i
Prospectus/statement requests - o
Daily valuation - v-o-i
STAFFING:
Record-keeping operations 23
Compliance/testing/plan design 1
Information technology 3
Investment analysis/due diligence 10
Dedicated conversion/installation 4
Relationship managers 9
Enrollment specialists 10
Education/communication consultants 10
Craig C. Arnold is client contact.
GE Retirement Services
777 Long Ridge Road, Building B, Stamford, CT 06927; phone: (203) 585-5325; fax: (203) 585-5008; www.ge.com/mutualfunds
RECORD-KEEPING
Total DC assets record kept ($ millions) 33,609
For plans with:
Fewer than 100 employees 5
100-499 employees 133
500-999 employees 162
1,000-4,999 employees 549
5,000-9,999 employees 554
10,000-24,999 employees 276
More than 25,000 employees 31,930
DC clients:
Corporate 401(k) 36
Other DC 3
Percentage of assets under record keeping in:
Proprietary investments 20.3%
Outside investments 1.4%
Company stock 78.2%
Other 0.1%
SERVICES PROVIDED:
Discrimination testing
Form 5500
1099s
State/federal tax withholding
Plan design
404(c) compliance
Ongoing plan compliance
Investment policy preparation
Standardized education print materials
Customized education print materials
Standardized communications
Customized communications
Fund information
Investment performance
Finance/retirement planning materials
Investment advice
Employee meetings
Employee one-on-one meetings
Foreign-language materials
SERVICES VIA VOICE RESPONSE/OPERATOR/INTERNET
Enrollment - v-o-i
Contribution rate change - v-o-i
Investment election change - v-o-i
Transfer request - v-o-i
Loan request/note preparation - v-o-i
Rollovers - v-o-i
QDROs form request - v-o-i
Distribution - v-o-i
Hardship withdrawal - v-o-i
Questions on employee statement - o
Questions on distributions - o-i
Investment information - v-o-i
Prospectus/statement requests - v-o-i
Daily valuation - v-o-i
INVESTMENT MANAGEMENT:
Assets under management ($ millions):
Total DC assets managed 7,756
Internally managed DC assets 7,186
In-house investment management services are provided through:
Mutual funds
Separate accounts
Commingled funds
Stable value/GIC
GE Retirement Services offers the following fund families through its fund alliance structure:
BlackRock, Domini, INVESCO, MAS, Montgomery, Morgan Stanley, Nicholas-Applegate, Phoenix, PIMCO, Prudential/Jennison, Royce and State Street Global.
Jack Boyce is client contact.
