SAFECO Life & Investments
5069 154th Place N.E., Redmond, WA 98052; phone: (425) 376-5485; fax: (425) 376-5272; www.safeco.com
* RECORD-KEEPING
Total DC assets record kept ($ millions) 2,250
For plans with:
Fewer than 100 employees 1,538
100-499 employees 372
500-999 employees 124
1,000-4,999 employees 142
5,000-9,999 employees 74
DC clients:
Corporate 401(k) 900
457 400
403(b) 7,400
Other DC 100
Percentage of assets under record keeping in:
Proprietary investments 82%
Outside investments 18%
* 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
Employee meetings
Employee one-on-one meetings
Foreign-language materials
* SERVICES VIA VOICE-RESPONSE/
OPERATOR/INTERNET
Investment election change - v-o-i
Transfer request - 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
Questions on distributions - o
Investment information - v-o-i
Prospectus/statement requests - o
Daily valuation - v-o-i
* INVESTMENT MANAGEMENT:
Assets under management ($ millions):
Total DC assets managed 2,950
Internally managed DC assets 2,600
In-house investment management services are provided through:
Mutual funds
Stable value/GIC
Other
* STAFFING:
Record-keeping operations 81
Information technology 41
Investment analysis/due diligence 2
Relationship managers 25
Enrollment specialists 6
Education/communication consultants 2
SAFECO Life & Investments offers the following fund families through its fund alliance structure:
AIM, American Century, Dreyfus, INVESCO, Janus, Federated, Fidelity, J.P. Morgan, Scudder, Franklin Templeton, Citizens and Neuberger Berman.
Bob Follette is client contact.
Charles Schwab & Co. Inc.
101 Montgomery St., San Francisco, CA 94104; phone: (877) 456-0777; fax: (415) 667-2349; www.schwabplan.com
* RECORD-KEEPING
Total DC assets record kept ($ millions) 15,651
For plans with:
Fewer than 100 employees 1,087
100-499 employees 4,806
500-999 employees 2,440
1,000-4,999 employees 4,946
5,000-9,999 employees 870
10,000-24,999 employees 1,502
DC clients:
Corporate 401(k) 510
Other 401(k) 3
Taft-Hartley 2
403(b) 1
Other DC 80
Percentage of assets under record keeping in:
Proprietary investments 25%
Outside investments 56%
Self-directed brokerage/funds window 12%
Company stock 4%
Other 3%
* 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
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
Address change - o
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 3,912
Internally managed DC assets 3,912
In-house investment management services are provided through:
Mutual funds
Separate accounts
Commingled funds
Stable value/GIC
* STAFFING:
Record-keeping operations 105
Compliance/testing/plan design 30
Information technology 57
Investment analysis/due diligence 35
Dedicated conversion/installation 31
Relationship managers 76
Enrollment specialists 15
Education/communication consultants 33
Chris Blair is client contact.
Scudder Retirement Services
2 International Place, Boston, MA 02110; phone: (800) 541-7701; fax: (617) 443-7051; www.scudder.com
* RECORD-KEEPING
Total DC assets record kept ($ millions) 13,615
For plans with:
Fewer than 100 employees 3,359
100-499 employees 2,717
500-999 employees 1,788
1,000-4,999 employees 3,092
5,000-9,999 employees 913
10,000-24,999 employees 1,746
DC clients:
Corporate 401(k) 10,096
Other 401(k) 52
Taft-Hartley 10
457 114
403(b) 718
Other DC 7,859
Percentage of assets under record keeping in:
Proprietary investments 66%
Outside investments 18%
Self-directed brokerage/funds window 1%
Company stock 8%
Other 7%
* 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
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-i
Investment election change - v-o-i
Transfer request - v-o-i
Loan request/note preparation - v-o-i
Distribution - v-o-i
Hardship withdrawal - v-o-i
Questions on employee statement - o
Questions on distributions - o
Investment information - v-o-i
Prospectus/statement requests - o-i
Daily valuation - v-o-i
* INVESTMENT MANAGEMENT:
Assets under management ($ millions):
Total DC assets managed 12,800
Internally managed DC assets 12,800
In-house investment management services are provided through:
Mutual funds
Stable value/GIC
Other
* STAFFING:
Record-keeping operations 236
Compliance/testing/plan design 27
Information technology 76
Investment analysis/due diligence 4
Dedicated conversion/installation 16
Relationship managers 26
Enrollment specialists 9
Education/communication consultants 26
Scudder Retirement Services offers the following fund families through its fund alliance structure:
AIM, Alger, Alliance, American Century, Baron, Dodge & Cox, Federated, Founders, Franklin Templeton, INVESCO, Janus, Loomis Sayles, Managers Funds, MFS, Neuberger Berman, PBHG, PIMCO, SAFECO, Strong and Warburg.
Steve Ulian is client contact.
Securian Retirement Services, a business unit of Minnesota Life Insurance Co.
400 Robert St. N., St. Paul, MN 55101; phone: (651) 665-4701; fax: (651) 665-5133; www.securian.com
* RECORD-KEEPING
Total DC assets record kept ($ millions) 5,755
DC clients:
Corporate 401(k) 1,816
457 1
403(b) 1
Other DC 598
Percentage of assets under record keeping in:
Proprietary investments 44%
Outside investments 55%
Self-directed brokerage/funds window 1%
* 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
Employee meetings
Employee one-on-one meetings
Foreign-language materials
* SERVICES VIA VOICE-RESPONSE/
OPERATOR/INTERNET
Enrollment - i
Contribution rate change - i
Investment election change - v-o-i
Transfer request - v-o-i
Loan request/note preparation - i
Rollovers - o
QDROs form request - o
Distribution - o
Hardship withdrawal - o
Address change - o-i
Questions on employee statement - o
Questions on distributions - o
Investment information - v-i
Prospectus/statement requests - o-i
Daily valuation - v-o-i
* INVESTMENT MANAGEMENT:
Assets under management ($ millions):
Total DC assets managed 5,755
Internally managed DC assets 3,304
In-house investment management services are provided through:
Separate accounts
* STAFFING:
Record-keeping operations 176
Compliance/testing/plan design 6
Information technology 26
Investment analysis/due diligence 17
Dedicated conversion/installation 15
Relationship managers 48
Enrollment specialists 16
Education/communication consultants 3
Securian Retirement Services, offers the following fund families through its fund alliance structure:
Vanguard, PIMCO, Fidelity, American Century, T. Rowe Price, Janus, Domini, Franklin Templeton, Scudder, Warburg and PBHG.
Terri McNamara is client contact.
Security Trust Co.
2390 E. Camelback Road, Suite 240, Phoenix, AZ 85016; phone: (602) 955-8373; fax: (602) 955-9771;
www.securitytrustco.com
* RECORD-KEEPING
Total DC assets record kept ($ millions) 4,200
DC clients:
Corporate 401(k) 280
Taft-Hartley 25
457 10
403(b) 10
Other DC 50
* SERVICES PROVIDED:
1099s
State/federal tax withholding
Standardized education print materials
Customized education print materials
Standardized communications
Customized communications
Fund information
* 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
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 - v-o-i
Daily valuation - v-o-i
* STAFFING:
Record-keeping operations 16
Information technology 11
Investment analysis/due diligence 4
Dedicated conversion/installation 5
Relationship managers 6
Nancy A. Murphy is client contact.
SEI Investments
1 Freedom Valley Drive, Oaks, PA 19456-1100; phone: (610) 676-1114; fax: (610) 676-4112; www.seic.com
* RECORD-KEEPING
Total DC assets record kept ($ millions) 15,164
* 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
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
Address change - o
Questions on employee statement - v-o-i
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 21,894
* STAFFING:
Investment analysis/due diligence 100
Dedicated conversion/installation 21
Relationship managers 14
Enrollment specialists 22
Education/communication consultants 6
Margaret McDermot and Doug Barbagallo are client contacts.
J. & W. Seligman & Co. Inc.
100 Park Ave., New York, NY 10017; phone: (212) 850-1864; fax: (212) 922-5740; www.seligman.com
* RECORD-KEEPING
Total DC assets record kept ($ millions) 872
DC clients:
401(k) 2,120
457 15
403(b) 50
Other DC 275
* 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
Employee meetings
* SERVICES VIA VOICE-RESPONSE/
OPERATOR/INTERNET
Enrollment - v-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
Questions on employee statement - o
Prospectus/statement requests - v-o-i
Daily valuation - v-o-i
* INVESTMENT MANAGEMENT:
Assets under management ($ millions):
Total DC assets managed 872
Internally managed DC assets 872
In-house investment management services are provided through:
Mutual funds
* STAFFING:
Record-keeping operations 30
Relationship managers 7
Enrollment specialists 3
Education/communication consultants 3
J. & W. Seligman & Co. Inc. offers the following fund families through its fund alliance structure:
AIM, Alliance, Dreyfus, Fidelity, INVESCO, Janus, Lazard, Munder, PIMCO, Alger, American Funds, Federated, Franklin Templeton, Goldman Sachs, J.P. Morgan, Scudder, Managers Funds, Neuberger Berman, RS Investment, SAFECO, Strong, Thornburg and Warburg.
Michelle McCann-Rappa is client contact.
Sit Investment Associates Inc.
90 S. Seventh St., Suite 4600, Minneapolis, MN 55402; phone: (612) 359-2540; fax: (612) 342-2111; www.sitfunds.com
* RECORD-KEEPING
Total DC assets record kept ($ millions) 55
For plans with:
Fewer than 100 employees 45
100-499 employees 10
DC clients:
Corporate 401(k) 28
403(b) 45
Percentage of assets under record keeping in:
Proprietary investments 98%
Self-directed brokerage/funds window 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
Investment policy preparation
Standardized education print materials
Customized education print materials
Standardized communications
Customized communications
Fund information
Investment performance
Finance/retirement planning materials
Employee meetings
Employee one-on-one meetings
* SERVICES VIA VOICE-RESPONSE/
OPERATOR/INTERNET
Investment election change - v-i
Transfer request - v-i
Rollovers - o
Distribution - o
Hardship withdrawal - o
Address change - o
Questions on employee statement - o
Questions on distributions - o
Investment information - o
Prospectus/statement requests - o
Daily valuation - v-i
* INVESTMENT MANAGEMENT:
Assets under management ($ millions):
Total DC assets managed 3,401
Internally managed DC assets 3,401
In-house investment management services are provided through:
Mutual funds
Separate accounts
* STAFFING:
Record-keeping operations 1
Relationship managers 1
Enrollment specialists 1
Mike Eckert is client contact.
SunGard Employee Benefit Systems
104 Inverness Center Place, Birmingham, AL 35242; phone: (205) 437-7500; fax: (205) 437-7991; www.ebs.sungard.com
* RECORD-KEEPING
Total DC assets record kept ($ millions) 36,535
For plans with:
Fewer than 100 employees 5
100-499 employees 47
500-999 employees 59
1,000-4,999 employees 1,332
5,000-9,999 employees 548
10,000-24,999 employees 3,164
More than 25,000 employees 31,380
* SERVICES PROVIDED:
Discrimination testing
1099s
State/federal tax withholding
Prototype plan document
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
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 - o-i
QDROs form request - v-o-i
Distribution - v-o-i
Hardship withdrawal - v-o-i
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
* STAFFING:
Record-keeping operations 40
Compliance/testing/plan design 10
Information technology 14
Dedicated conversion/installation 5
Total retirement outsourcing 35
Relationship managers 5
Enrollment specialists 1
Education/communication consultants 1
Jim Timmerman is client contact.
SunTrust Bank Inc./
Trusco Capital Management Retirement Services
200 S. Orange Ave., 11th Floor, Orlando, FL 32801; phone: (407) 237-6928; fax: (407) 237-6996; suntrust.com
* RECORD-KEEPING
Percentage of assets under record keeping in:
Proprietary investments 45%
Outside investments 25%
Self-directed brokerage/funds window 2%
Company stock 4%
Other 24%
* 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
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
Questions on employee statement - v-o-i
Questions on distributions - v-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 3,024
Internally managed DC assets 3,024
In-house investment management services are provided through:
Mutual funds
Separate accounts
Commingled funds
Stable value/GIC
* STAFFING:
Record-keeping operations 218
Compliance/testing/plan design 20
Information technology 116
Investment analysis/due diligence 30
Dedicated conversion/installation 12
Relationship managers 192
Enrollment specialists 18
Education/communication consultants 18
SunTrust Bank Inc./Trusco Capital Management Retirement Services offers the following fund families through its fund alliance structure:
AIM, American Century, Dreyfus, Federated, Fidelity, Franklin Templeton, Janus and MFS.
Gary Plourde is client contact.
