Nationwide Life Insurance
1 Nationwide Plaza, Columbus, OH 43215; phone: (614) 249-4175; fax: (614) 677-2772; nationwide.com
($ millions)
Total DC assets 30,631
Internally managed 13,401
Plan type:
401(k) 5,749
403(b) 44
457 7,608
Client contact: Michael Butler
1 E. Liberty, Third Floor, Reno, NV 89501; phone: (775) 785-2300; fax: (775) 785-9363; www.navellier.com
($ millions)
Total DC assets 420
Internally managed 420
Investment vehicle:
Separate accounts 297
Other commingled 123
Asset mix:
Stocks 100%
Client contact: James O'Leary
Neuberger Berman LLC
605 Third Ave., 22nd Floor, New York, NY 10158-3698; phone: (212) 476-9000; fax: (212) 476-5797; www.nb.com
($ millions)
Total DC assets 4,619
Internally managed 4,619
Plan type:
401(k) 4,594
403(b) 25
Asset mix:
Stocks 88%
Bonds 12%
New York Life Insurance Co.
300 Interpace Parkway, Building A, Parsippany, NJ 07054; phone: (973) 299-3584; fax: (973) 316-4703; www.newyorklife.com
($ millions)
Total DC assets 12,876
Internally managed 12,876
Plan type:
401(k) 10,103
403(b) 9
457 956
Other 1,808
Investment vehicle:
Mutual funds 725
Separate accounts 1,133
Other commingled 11,018
Client contact: Peter Brigando
Nicholas Co. Inc.
700 N. Water St., Suite 1010, Milwaukee, WI 53202; phone: (414) 272-6133; fax: (414) 272-7867; www.nicholasfunds.com
($ millions)
Total DC assets 237
Internally managed 237
Investment vehicle:
Separate accounts 237
Asset mix:
Stocks 100%
Client contact: Jeffrey May
NISA Investment Advisors
150 N. Meramec Ave., Suite 640, St. Louis, MO 63105-3753; phone: (314) 721-1900; fax: (314) 721-3041
($ millions)
Total DC assets 3,000
Internally managed 3,000
Asset mix:
Stable value 100%
Client contact: Robert Krebs
Northern Trust Corp.
50 S. LaSalle St., Chicago, IL 60675; phone: (312) 630-6000; fax: (312) 444-7684
($ millions)
Total DC assets 5,901
Internally managed 2,873
Investment vehicle:
Mutual funds 786
Other commingled 2,087
Asset mix:
Stocks 64%
Bonds 21%
Cash 2%
Stable value 12%
Other 1%
Client contact: Jeffrey McCroy
NWQ Investment Management Co.
2049 Century Park E., Fourth Floor, Los Angeles, CA 90067; phone: (310) 712-4000; fax: (310) 712-4100; www.nwq.com
($ millions)
Total DC assets 454
Internally managed 454
Plan type:
401(k) 454
Investment vehicle:
Separate accounts 454
Asset mix:
Stocks 70%
Bonds 30%
Client contact: Karen McCue
[O]
Oak Associates Ltd.
3875 Embassy Parkway, Suite 250, Akron, OH 44333; phone: (330) 668-1234; fax: (330) 668-2901; www.oakassociates.com
($ millions)
Total DC assets 3,107
Internally managed 3,107
Plan type:
401(k) 3,107
Investment vehicle:
Separate accounts 3,107
Asset mix:
Stocks 97%
Bonds 2%
Cash 1%
Client contact: Sandra Noll
[P]
Pacific Investment Management Co.
840 Newport Center Drive, Suite 360, P.O. Box 6430, Newport Beach, CA 92658-6430; phone: (949) 640-3031; fax: (949) 759-7578; www.pimco.com
($ millions)
Total DC assets 12,837
Internally managed 12,837
Plan type:
401(k) 12,637
403(b) 100
457 100
Investment vehicle:
Mutual funds 4,046
Separate accounts 8,791
Asset mix:
Stocks 1%
Bonds 44%
Stable value 55%
Client contact: Greg Bishop
Pacific Life Insurance Co.
700 Newport Center Drive, Newport Beach, CA 92660; phone: (949) 219-3831; fax: (949) 219-4864; www.pacificlife.com
($ millions)
Total DC assets 3,326
Internally managed 3,326
Client contact: Jim Males
PanAgora Asset Management
260 Franklin St., 22nd Floor, Boston, MA 02110; phone: (617) 439-6300; fax: (617) 439-6675
($ millions)
Total DC assets 2,201
Internally managed 2,201
Plan type:
457 683
Other 1,518
Lifecycle/asset allocation assets 785
Asset mix:
Stocks 87%
Cash 13%
Client contact: Fraser Blakely
Patterson Capital Corp.
2029 Century Park E., Suite 2950, Los Angeles, CA 90067; phone: (310) 556-2496; fax: (310) 553-8319
($ millions)
Total DC assets 41
Internally managed 41
Plan type:
401(k) 41
Investment vehicle:
Separate accounts 41
Asset mix:
Bonds 100%
Client contact: H. Patricia Gates
Payden & Rygel
333 S. Grand Ave., Los Angeles, CA 90071; phone: (213) 625-1900; fax: (213) 628-8488; www.payden.com
($ millions)
Total DC assets 9,578
Internally managed 9,578
Plan type:
401(k) 9,578
Investment vehicle:
Mutual funds 1,502
Separate accounts 7,826
Other commingled 250
Asset mix:
Stocks 2%
Bonds 98%
Client contact: Brian Matthews
Peregrine Capital Management
800 LaSalle Ave., Suite 1850, Minneapolis, MN 55402-2018; phone: (612) 343-7600; fax: (612) 343-7631
($ millions)
Total DC assets 90
Internally managed 90
Plan type:
Other 90
Investment vehicle:
Separate accounts 90
Asset mix:
Equity 73%
Bonds 17%
Client contact: Julie M. Gerend
Piedra Capital Ltd.
5051 Westheimer, Suite 1925, Houston, TX 77056; phone: (713) 622-7625; fax: (713) 622-4655
($ millions)
Total DC assets 7
Internally managed 7
Plan type:
401(k) 7
Investment vehicle:
Separate accounts 7
Lifecycle/asset allocation assets 7
Asset mix:
Stocks 97%
Bonds 3%
Client contact: Peter Hidalgo
Pilgrim Baxter & Associates
825 Duportail Road, Wayne, PA 19087-5525; phone: (610) 647-4100; fax: (610) 722-5844; pbhgfunds.com
($ millions)
Total DC assets 1,800
Internally managed 1,800
Asset mix:
Stocks 100%
Client contact: Loraine McEvoy
Pioneer Investment Management Inc.
60 State St., Boston, MA 02109; phone: (800) 821-1239; fax: (617) 422-4277; www.pioneerfunds.com
($ millions)
Total DC assets 1,511
Internally managed 1,511
Plan type:
401(k) 464
403(b) 867
457 1
Profit-sharing 179
Investment vehicle:
Mutual funds 1,511
Asset mix:
Stocks 93%
Bonds 3%
Cash 3%
Other 1%
Client contact: Steven Forss
Polen Capital Management
14502 N. Dale Mabry Highway, Suite 303, Tampa, FL 33618; phone: (813) 265-3565; fax: (813) 969-4150; www.polencapital.com
($ millions)
Total DC assets 78
Internally managed 78
Plan type:
401(k) 6
Profit-sharing 72
Investment vehicle:
Separate accounts 73
Other commingled 5
Asset mix:
Stocks 100%
Client contact: Jay Folz
T. Rowe Price Associates
100 E. Pratt St., Baltimore, MD 21202; phone: (410) 345-2000; fax: (410) 345-2349; www.troweprice.com
($ millions)
Total DC assets 55,956
Internally managed 34,022
Plan type:
401(k) 27,244
403(b) 61
457 4,583
Other 2,134
Investment vehicle:
Mutual funds 25,708
Variable annuities 2,441
Separate accounts 5,873
Lifecycle/asset allocation assets 576
Asset mix:
Stocks 59%
Bonds 11%
Stable value 8%
Other 22%
Client contact: Rick Rockwell
Principal Capital Management LLC
801 Grand Ave., Des Moines, IA 50392; phone: (515) 247-5111; fax: (515) 235-9700; www.principal.com
($ millions)
Total DC assets 39,068
Internally managed 39,068
Plan type:
401(k) 24,644
403(b) 347
457 90
Other 13,987
Investment vehicle:
Mutual funds 135
Separate accounts 47
Other commingled 38,886
Lifecycle/asset allocation assets 1,252
Asset mix:
Stocks 44.2%
Bonds 5.0%
Cash 3.8%
Stable value 41.5%
Other 5.5%
Client contact: Jim Sager
Provident Investment Counsel Inc.
300 N. Lake Ave., Pasadena, CA 91101-4106; phone: (626) 449-8500; fax: (626) 395-5602; www.provnet.com
($ millions)
Total DC assets 1,001
Internally managed 1,001
Plan type:
401(k) 32
Other 969
Investment vehicle:
Separate accounts 1,001
Asset mix:
Stocks 84%
Bonds 13%
Cash 3%
Client contact: Victoria Luiten
Prudential Insurance Co. of America
2 Gateway Center, 6th Floor, McCarter Highway & Market Street, Newark, NJ 07102; phone: (973) 802-6000; fax: (973) 802-6088; www.prudential.com
($ millions)
Total DC assets 57,600
Internally managed 57,600
Plan type:
401(k) 47,500
403(b) 7,500
457 2,600
Investment vehicle:
Mutual funds 29,900
Variable annuities 1,700
Separate accounts 8,200
Other commingled 17,800
Lifecycle/asset allocation assets 162
Asset mix:
Stocks 53.5%
Bonds 4.7%
Cash 4.4%
Stable value 37.4%
Client contact: Marjorie Doane
Putnam Investments Inc.
1 Post Office Square, Boston, MA 02109; phone: (617) 292-1000; fax: (617) 760-8614; www.putnaminv.com
($ millions)
Total DC assets 36,300
Internally managed 36,300
Plan type:
401(k) 36,000
403(b) 50
457 250
Investment vehicle:
Mutual funds 31,400
Separate accounts 2,600
Other commingled 2,300
Lifecycle/asset allocation assets 1,991
Asset mix:
Stocks 73.8%
Bonds 25.2%
Cash 1.0%
Client contact: Daniel Kilcullen
Pzena Investment Management LLC
830 Third Ave., 14th Floor, New York, NY 10022; phone: (212) 583-1408; fax: (212) 308-0010
($ millions)
Total DC assets 88
Internally managed 88
Investment vehicle:
Separate accounts 88
Asset mix:
Stocks 100%
Client contact: William Lipsey
[Q]
QCI Asset Management
387 E. Main St., Suite 300, Rochester, NY 14604; phone: (716) 262-6080; fax: (716) 262-6089
($ millions)
Total DC assets 260
Internally managed 260
Plan type:
401(k) 45
457 2
Other 213
Investment vehicle:
Separate accounts 260
Lifecycle/asset allocation assets 25
Asset mix:
Stocks 62.4%
Bonds 34.6%
Cash 1.7%
Other 1.3%
Client contact: Richard J. Maguire
Quest Investment Management Inc.
1 S.W. Columbia, Suite 1610, Portland, OR 97258; phone: (503) 221-0158; fax: (503) 221-0575
($ millions)
Total DC assets 381
Internally managed 381
Plan type:
401(k) 1
Other 380
Investment vehicle:
Separate accounts 366
Other commingled 15
Asset mix:
Stocks 60%
Bonds 34%
Cash 6%
Client contact: Greg Sherwood
