ICMA Retirement Corp.
777 N. Capitol St. N.E., Washington, DC 20002; phone: (202) 962-4600; fax: (202) 962-4601; www.icmarc.org
RECORD KEEPING
Total DC assets record kept ($ mil) 15,141
For plans with:
Fewer than 100 employees 2,680
100-499 employees 4,626
500-999 employees 1,581
1,000-4,999 employees 3,195
5,000-9,999 employees 191
10,000-24,999 employees 1,998
More than 25,000 employees 870
No. of DC record-keeping clients:
Other 401(k) 36
457 4,526
Other DC 1,708
% of assets under record keeping in:
Proprietary investments 87%
Outside investments 13%
SERVICES PROVIDED:
1099s
State/federal tax withholding
Prototype plan document
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
Enrollment - v-o-i
Contribution rate change - v-o-i
Investment election change - v-o-i
Transfer request - v-o-i
QDROs form request - o
Address change - v-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 7,165
Internally managed DC assets 3,593
In-house investment management services are provided through:
Mutual funds
Commingled funds
Stable value/GIC
Certificates of deposit
STAFFING:
Record-keeping operations 208
Compliance/testing/plan design 15
Information technology 89
Investment analysis/due diligence 16
Dedicated conversion/installation 14
Relationship managers 10
Enrollment specialists 80
Education/communication consultants 11
ICMA Retirement Corp. offers 23 fund families through its fund alliance structure, representing 179 funds.
Client contact: Keith Sendall.
ING US Financial Services
151 Farmington Ave., Hartford, CT 06156; phone: (888) 238-6243; fax: (860) 273-3940; www.ingretirementplans.com
RECORD KEEPING
Total DC assets record kept ($ mil) 49,200
For plans with:
Fewer than 100 employees 11,300
100-499 employees 9,000
500-999 employees 5,500
1,000-4,999 employees 7,100
5,000-9,999 employees 3,500
10,000-24,999 employees 5,700
More than 25,000 employees 7,100
No. of DC record-keeping clients:
Corporate 401(k) 15,763
457 3,925
403(b) 14,418
% of assets under record keeping in:
Proprietary investments 64%
Outside investments 36%
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 - 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 60,000
Internally managed DC assets 34,000
In-house investment management services are provided through:
Mutual funds
Separate accounts
Stable value/GIC
Other
ING US Financial Services offers 36 fund families through its fund alliance structure, representing 210 funds.
The parent company is ING Group NV.
Client contact: Robert Leghorn.
INVESCO Retirement Inc.
1201 Peachtree St. N.E., 400 Colony Square, Suite 2200, Atlanta, GA 30361; phone: (800) 538-6370; fax: (404) 879-7998;
www.invescoretirement.com
RECORD KEEPING
Total DC assets record kept ($ mil) 20,100
For plans with:
Fewer than 100 employees 1,396
100-499 employees 2,990
500-999 employees 1,595
1,000-4,999 employees 5,184
5,000-9,999 employees 2,193
10,000-24,999 employees 1,513
More than 25,000 employees 5,229
No. of DC record-keeping clients:
Corporate 401(k) 1,125
Other 401(k) 50
Taft-Hartley 21
457 2
403(b) 9
Other DC 250
% of assets under record keeping in:
Proprietary investments 39%
Outside investments 40%
Self-directed brokerage/funds window 1%
Company stock 16%
Other 4%
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 - o
Distribution - o
Hardship withdrawal - o
Questions on employee statement - v-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 51,943
Internally managed DC assets 50,950
In-house investment management services are provided through:
Mutual funds
Separate accounts
Commingled funds
Stable value/GIC
STAFFING:
Record-keeping operations 293
Compliance/testing/plan design 27
Information technology 62
Investment analysis/due diligence 5
Dedicated conversion/installation 22
Relationship managers 31
Enrollment specialists 6
Education/communication consultants 6
INVESCO Retirement Inc. offers 65 fund families through its fund alliance structure, representing 458 funds.
The parent company is AMVESCAP PLC.
Client contact: Ben Utt.
Invesmart Inc.
Penn Center West Six, Suite 211, Pittsburgh, PA 15276; phone: (412) 249-3200; fax: (412) 249-3242; www.invesmart.com
RECORD KEEPING
Total DC assets record kept ($ mil) 11,025
For plans with:
Fewer than 100 employees 4,002
100-499 employees 966
500-999 employees 3,052
1,000-4,999 employees 964
5,000-9,999 employees 1,258
10,000-24,999 employees 783
No. of DC record-keeping clients:
Corporate 401(k) 4,443
Other 401(k) 99
Taft-Hartley 16
403(b) 21
Other DC 2,754
% of assets under record keeping in:
Outside investments 79%
Self-directed brokerage/funds window 11%
Company stock 10%
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-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-i
Distribution - v-o-i
Hardship withdrawal - v-o-i
Address change - v-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
STAFFING:
Record-keeping operations 142
Compliance/testing/plan design 56
Information technology 31
Investment analysis/due diligence 76
Dedicated conversion/installation 43
Relationship managers 123
Enrollment specialists 44
Education/communication consultants 19
Client contact: Charley Kennedy.
