Lawrence Johnson & Associates
1901 Harrison St., Suite 1400, Oakland, CA 94612; phone: (510) 893-8022; fax: (510) 893-0204; www.lj-a.com
RECORD KEEPING
Total DC assets record kept ($ mil) 1,455
For plans with:
Fewer than 100 employees 447
100-499 employees 265
500-999 employees 175
1,000-4,999 employees 568
No. of DC record-keeping clients:
Corporate 401(k) 132
Other DC 155
% of assets under record keeping in:
Outside investments 79%
Self-directed brokerage/funds window 20%
Other 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
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-i
Transfer request - v-i
Loan request/note preparation - v-o-i
Rollovers - o-i
QDROs form request - o
Distribution - v-o-i
Hardship withdrawal - v-o-i
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
STAFFING:
Record-keeping operations 19
Compliance/testing/plan design 6
Information technology 5
Relationship managers 6
Lawrence Johnson & Associates offers 433 fund families through its fund alliance structure, representing 4,480 funds.
Client contact: Lawrence R. Johnson.
The Lincoln National Life Insurance Co.
1300 S. Clinton St., Fort Wayne, IN 46802; phone: (260) 455-2000; fax: (260) 455-0498; www.lincolnlife.com
RECORD KEEPING
Total DC assets record kept ($ mil) 18,100
For plans with:
Fewer than 100 employees 1,806
100-499 employees 1,715
500-999 employees 1,824
1,000-4,999 employees 6,111
5,000-9,999 employees 4,342
10,000-24,999 employees 1,583
More than 25,000 employees 719
No. of DC record-keeping clients:
Corporate 401(k) 10,178
457 1,160
403(b) 5,753
Other DC 701
% of assets under record keeping in:
Proprietary investments 41%
Outside investments 59%
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
QDROs form request - o
Distribution - o-i
Hardship withdrawal - o-i
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
STAFFING:
Record-keeping operations 123
Compliance/testing/plan design 55
Information technology 40
Investment analysis/due diligence 20
Dedicated conversion/installation 91
Relationship managers 10
The Lincoln National Life Insurance Co. offers 250 fund families through its fund alliance structure, representing 3,000 funds.
The parent company is Lincoln National Corp.
Client contact: Michele Scott.
