TeamVest Inc.
11215 Rushmore Drive, Charlotte, NC 28277; phone: (704) 944-7400; fax: (704) 944-7473;
www.teamvest.com
RECORD-KEEPING
Total DC assets record kept ($ millions) 1,350
For plans with:
Fewer than 100 employees 452
100-499 employees 394
500-999 employees 137
1,000-4,999 employees 367
DC clients:
Corporate 401(k) 335
Other DC 60
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
Foreign-language materials
SERVICES VIA VOICE RESPONSE/OPERATOR/INTERNET
Investment election change - v-i
Transfer request - v-i
Loan request/note preparation - v
Daily valuation - v-i
INVESTMENT MANAGEMENT:
Assets under management ($ millions):
Total DC assets managed 8
Internally managed DC assets 8
In-house investment management services are provided through:
Mutual funds
Stable value/GIC
Other
STAFFING:
Record-keeping operations 17
Compliance/testing/plan design 5
Information technology 5
Investment analysis/due diligence 6
Dedicated conversion/installation 5
Total retirement outsourcing 2
Relationship managers 2
Enrollment specialists 1
Education/communication consultants 10
John Stilley is client contact.
TIAA-CREF
730 Third Ave., New York, NY 10017; phone: (800) 842-2733; www.tiaa-cref.org
RECORD-KEEPING
Total DC assets record kept ($ millions) 294,834
DC clients:
403(b) 9,960
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
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-i
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 - o-i
Questions on employee statement - o-i
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 294,834
Internally managed DC assets 294,834
In-house investment management services are provided through:
Separate accounts
Other
David Shunk is client contact.
Transamerica Retirement Services
1150 S. Olive St., Los Angeles, CA 90015; phone: (888) 401-5826; fax: (213) 741-7742;
www.ta-retirement.com
Percentage of assets under record keeping in:
Proprietary investments 57.8%
Outside investments 42.2%
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
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
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 - o
QDROs form request - v-o-i
Distribution - v-o-i
Hardship withdrawal - o
Address change - o-i
Questions on employee statement - o
Questions on distributions - o
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 10,000
Internally managed DC assets 9,000
In-house investment management services are provided through:
Mutual funds
Separate accounts
Stable value/GIC
Transamerica Retirement Services offers the following fund families through its fund alliance structure:
AIM, Fidelity, Franklin Templeton, Janus, MFS, Neuberger Berman, PBHG, PIMCO, Putnam, INVESCO, Strong and Oppenheimer.
Diana Geraci is client contact.
Trustar Retirement Services
1013 Centre Road, Wilmington, DE 19805; phone: (800) 332-4015; fax: (302) 995-6013; www.trustar-rs.com
RECORD-KEEPING
Total DC assets record kept ($ millions) 4,000
SERVICES PROVIDED:
Discrimination testing
Form 5500
1099s
State/federal tax withholding
Prototype plan document
Plan design
Summary plan descriptions
404(c) compliance
Ongoing plan compliance
Standardized education print materials
Standardized communications
Customized communications
Fund information
Finance/retirement planning materials
Employee meetings
Foreign-language materials
SERVICES VIA VOICE RESPONSE/OPERATOR/INTERNET
Investment election change - v-o-i
Transfer request - v-o-i
Loan request/note preparation - v-o-i
Daily valuation - v-o-i
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
