CIGNA Retirement & Investment Services
280 Trumbull St., Hartford, CT 06103; phone: (800) 574-0615; fax: (860) 534-2614; www.cigna.com
RECORD KEEPING
Total DC assets record kept ($ mil) 29,100
For plans with:
Fewer than 100 employees 1,500
100-499 employees 5,000
500-999 employees 4,500
1,000-4,999 employees 11,000
5,000-9,999 employees 3,200
10,000-24,999 employees 1,000
More than 25,000 employees 2,900
No. of DC record-keeping clients:
Corporate 401(k) 2,154
Taft-Hartley 58
Other DC 344
% of assets under record keeping in:
Proprietary investments 70%
Outside investments 23%
Self-directed brokerage/funds window 1%
Company stock 3%
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 - o-i
QDROs form request - o
Distribution - v-o
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
INVESTMENT MANAGEMENT:
Assets under management ($ millions):
Total DC assets managed 31,084
Internally managed DC assets 23,193
In-house investment management services are provided through:
Separate accounts
Commingled funds
Stable value/GIC
STAFFING:
Record-keeping operations 450
Compliance/testing/plan design 65
Information technology 240
Investment analysis/due diligence 265
Dedicated conversion/installation 190
Total retirement outsourcing 200
Relationship managers 210
Education/communication consultants 200
CIGNA Retirement & Investment Services offers 20 fund families through its fund alliance structure, representing 41 funds.
The parent company is CIGNA Corp.
Client contact: Ken Montgomery.
CitiStreet
3 Batterymarch Park, Quincy, MA 02169; phone: (617) 376-9100; fax: (617) 376-9180; www.citistreetonline.com
RECORD KEEPING
Total DC assets record kept ($ mil) 173,343
For plans with:
Fewer than 100 employees 9,082
100-499 employees 9,541
500-999 employees 26,973
1,000-4,999 employees 15,681
5,000-9,999 employees 12,133
10,000-24,999 employees 22,062
More than 25,000 employees 77,871
No. of DC record-keeping clients:
Corporate 401(k) 7,363
Other 401(k) 24
Taft-Hartley 13
457 1,267
403(b) 4,688
Other DC 4,009
% of assets under record keeping in:
Proprietary investments 22%
Outside investments 33%
Self-directed brokerage/funds window 1%
Company stock 41%
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 - o
QDROs form request - v-o-i
Distribution - v-o-i
Hardship withdrawal - 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
STAFFING:
Record-keeping operations 1,550
Compliance/testing/plan design 35
Information technology 488
Investment analysis/due diligence 161
Dedicated conversion/installation 163
Relationship managers 152
Enrollment specialists 672
Education/communication consultants 20
CitiStreet offers 88 fund families through its fund alliance structure, representing 1,719 funds.
The parent companies are State Street Corp. and Citigroup.
Client contact: Sandy McCarthy.
CNA Trust
3080 S. Bristol St., 2nd Floor, Costa Mesa, CA 92626; phone: (714) 437-4101; fax: (714) 437-4065; www.cnatrust.com
RECORD KEEPING
Total DC assets record kept ($ mil) 3,000
No. of DC record-keeping clients:
Corporate 401(k) 2,501
Taft-Hartley 18
457 1
Other DC 813
% of assets under record keeping in:
Outside investments 87%
Self-directed brokerage/funds window 8%
Company stock 5%
SERVICES PROVIDED:
Discrimination testing
Form 5500
1099s
State/federal tax withholding
Prototype plan document
Plan design
Customized plan documents
Summary plan descriptions
Ongoing plan compliance
Standardized education print materials
Customized education print materials
Standardized communications
Customized communications
Fund information
Employee meetings
Foreign-language materials
SERVICES VIA VOICE-RESPONSE/
OPERATOR/INTERNET
Enrollment - i
Contribution rate change - i
Investment election change - v-i
Transfer request - v-i
Loan request/note preparation - v
Address change - i
Questions on employee statement - o
Questions on distributions - o
Investment information - o-i
Prospectus/statement requests - i
Daily valuation - v-o-i
STAFFING:
Record-keeping operations 110
Compliance/testing/plan design 6
Information technology 23
Dedicated conversion/installation 17
Relationship managers 8
The parent company is CNA Trust Financial Corp.
Client contact: Frank Bruno.
Columbia Management Group Inc.
590 Madison Ave., 36th Floor, New York, NY 10022; phone: (212) 893-7200; fax: (212) 893-7191; www.cmginstitutional.com
RECORD KEEPING
Total DC assets record kept ($ mil) 8,619
For plans with:
Fewer than 100 employees 1,808
100-499 employees 1,358
500-999 employees 711
1,000-4,999 employees 2,438
10,000-24,999 employees 4
More than 25,000 employees 2,300
No. of DC record-keeping clients:
Corporate 401(k) 1,725
Taft-Hartley 5
403(b) 3
% of assets under record keeping in:
Proprietary investments 82%
Outside investments 16%
Self-directed brokerage/funds window 1%
Company stock 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
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 - o
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
INVESTMENT MANAGEMENT:
Assets under management ($ millions):
Total DC assets managed 6,460
Internally managed DC assets 6,385
In-house investment management services are provided through:
Mutual funds
Separate accounts
Commingled funds
Stable value/GIC
Other
STAFFING:
Record-keeping operations 28
Compliance/testing/plan design 23
Information technology 36
Investment analysis/due diligence 12
Relationship managers 30
Enrollment specialists 4
Education/communication consultants 10
Columbia Management Group Inc. offers 50 fund families through its fund alliance structure, representing 400 funds.
The parent company is FleetBoston Financial Corp.
Client contacts: Lisa Linker and Robert W. Noack.
Comerica Bank - Retirement Services Department
411 W. Lafayette Blvd., MC 3467, Detroit, MI 48226; phone: (800) 872-1242; fax: (313) 222-6641; www.comerica.com
RECORD KEEPING
Total DC assets record kept ($ mil) 3,649
No. of DC record-keeping clients:
Corporate 401(k) 483
Taft-Hartley 17
403(b) 4
Other DC 13
% of assets under record keeping in:
Proprietary investments 24%
Outside investments 63%
Self-directed brokerage/funds window 1%
Company stock 12%
SERVICES PROVIDED:
Discrimination testing
Form 5500
1099s
State/federal tax withholding
Prototype plan document
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
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
STAFFING:
Record-keeping operations 46
Compliance/testing/plan design 2
Information technology 15
Investment analysis/due diligence 4
Dedicated conversion/installation 6
Total retirement outsourcing 5
Relationship managers 23
Enrollment specialists 3
Education/communication consultants 6
Comerica Bank - Retirement Services Department offers 12 fund families through its fund alliance structure, representing 450 funds.
Client contact: Maurice Shane.
The Commerce Trust Co.
8000 Forsyth Blvd., CLIM-6, Clayton, MO 63105-1797; phone: (314) 746-7329; fax: (314) 746-3937; www.commercebank.com
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-i
Contribution rate change - v-o-i
Investment election change - v-o-i
Transfer request - v-o-i
Loan request/note preparation - o-i
Hardship withdrawal - v-o-i
Questions on employee statement - v-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 1,012
Internally managed DC assets 867
In-house investment management services are provided through:
Mutual funds
Separate accounts
Commingled funds
Stable value/GIC
STAFFING:
Investment analysis/due diligence 8
Relationship managers 5
Enrollment specialists 2
Education/communication consultants 2
The Commerce Trust Co. offers 13 fund families through its fund alliance structure, representing 131 funds.
The parent company is Commerce Bancshares Inc.
Client contact: H. William Reisner Jr..
Correll Co.
9655 S. 78th Ave., Hickory Hills, IL 60457; phone: (708) 599-5200; fax: (708) 599-5356; www.correllco.com
RECORD KEEPING
Total DC assets record kept ($ mil) 571
For plans with:
Fewer than 100 employees 285
100-499 employees 141
500-999 employees 65
1,000-4,999 employees 80
No. of DC record-keeping clients:
Corporate 401(k) 692
457 2
403(b) 2
Other DC 351
% of assets under record keeping in:
Outside investments 89%
Self-directed brokerage/funds window 5%
Company stock 1%
Other 5%
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-o-i
Rollovers - o-i
QDROs form request - o
Distribution - o
Hardship withdrawal - o-i
Address change - o
Questions on employee statement - o
Investment information - i
Prospectus/statement requests - i
Daily valuation - v-i
STAFFING:
Record-keeping operations 12
Compliance/testing/plan design 4
Information technology 1
Investment analysis/due diligence 3
Dedicated conversion/installation 3
Relationship managers 4
Enrollment specialists 3
Education/communication consultants 3
Correll Co. offers 129 fund families through its fund alliance structure, representing 3,514 funds.
Client contact: Kenneth Schlott.
CPI Qualified Plan Consultants Inc.
1809 24th St., Great Bend, KS 67530; phone: (620) 793-8473; fax: (620) 793-7463; www.cpiqpc.com
RECORD KEEPING
Total DC assets record kept ($ mil) 3,252
For plans with:
Fewer than 100 employees 180
100-499 employees 315
500-999 employees 844
1,000-4,999 employees 416
5,000-9,999 employees 1,497
No. of DC record-keeping clients:
Corporate 401(k) 2,476
Taft-Hartley 11
457 8
403(b) 46
Other DC 362
% of assets under record keeping in:
Outside investments 87%
Self-directed brokerage/funds window 3%
Company stock 8%
Other 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
Investment advice
Employee meetings
Employee one-on-one meetings
Foreign-language materials
SERVICES VIA VOICE-RESPONSE/
OPERATOR/INTERNET
Contribution rate change - 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 - o
Distribution - o-i
Hardship withdrawal - o
Address change - v-o-i
Questions on employee statement - o
Investment information - i
Prospectus/statement requests - i
Daily valuation - v-i
STAFFING:
Record-keeping operations 135
Compliance/testing/plan design 117
Information technology 19
Dedicated conversion/installation 62
Total retirement outsourcing 20
Relationship managers 11
Education/communication consultants 7
The parent company is A.G. Edwards Inc.
