Baird Investment Management Services
777 E. Wisconsin Ave., Milwaukee, WI 53217; phone: (414) 765-3859; fax: (414) 765-7012; www.rwbaird.com
($ millions)
Total DC assets 40
Internally managed 40
Plan type:
401(k) 40
Asset mix:
Stocks 70.5%
Bonds 26.0%
Cash 3.5%
Client contact: Joel Vrabel
Banc One Investment Management Group
1111 Polaris Parkway, Suite B2, Columbus, OH 43240; phone: (614) 213-1050; fax: (614) 213-9031; www.bankone.com;
www.onegroup.com
($ millions)
Total DC assets 8,000
Internally managed 3,063
Plan type:
401(k) 426
Other 2,637
Investment vehicle:
Mutual funds 1,313
Separate accounts 1,541
Other commingled 209
Asset mix:
Stocks 50%
Bonds 40%
Cash 10%
Client contact: David Vetta
Bank of New Hampshire Trust & Investment Services
143 N. Main St., Concord, NH 03302-0477; phone: (800) 871-8101; fax: (603) 229-5735; www.banknh.com
($ millions)
Total DC assets 67
Internally managed 51
Plan type:
401(k) 3
Profit-sharing 48
Investment vehicle:
Separate accounts 51
Asset mix:
Stocks 55%
Bonds 40%
Cash 5%
Client contact: Curt Ehler
BankBoston NA
100 Federal St., MS 01/05/03, Boston, MA 02110; phone: (617) 434-2200; fax: (617) 434-3660
($ millions)
Total DC assets 637
Internally managed 637
Plan type:
401(k) 79
Other 558
Investment vehicle:
Mutual funds 79
Separate accounts 558
Lifecycle/asset allocation assets 1
Asset mix:
Stocks 45%
Bonds 43%
Cash 5%
Stable value 7%
Client contact: Frank Pitten
Barclays Global Investors
45 Fremont St., San Francisco, CA 94105; phone: (415) 597-2000; fax: (415) 597-2010; www.barclaysglobal.com
($ millions)
Total DC assets 78,300
Internally managed 78,300
Plan type:
401(k) 11,800
457 1,200
Thrift savings/profit-sharing 65,300
Investment vehicle:
Separate accounts 4,700
Other commingled 73,600
Lifecycle/asset allocation assets 2,300
Asset mix:
Stocks 88%
Bonds 10%
Cash 2%
Client contact: Lee Harbert
Baron Capital Inc.
767 Fifth Ave., New York, NY 10153; phone: (212) 583-2000; fax: (212) 583-2150; www.baronfunds.com
($ millions)
Total DC assets 930
Internally managed 930
Plan type:
401(k) 915
403(b) 8
457 7
Investment vehicle:
Mutual funds 930
Asset mix:
Stocks 98%
Cash 2%
Client contact: David Kaplan
Beacon Investment Co.
201 S. Main St., Suite 200, Ann Arbor, MI 48169; phone: (734) 662-1200; fax: (734) 741-9901
($ millions)
Total DC assets 12
Internally managed 12
Plan type:
401(k) 12
Investment vehicle:
Separate accounts 12
Lifecycle/asset allocation assets 12
Asset mix:
Stocks 56%
Bonds 36%
Cash 8%
Client contact: Robert Parker
1211 S.W. Fifth Ave., Suite 2185, Portland, OR 97204; phone: (503) 223-1720; fax: (503) 223-3624; www.beckercap.com
($ millions)
Total DC assets 990
Internally managed 990
Investment vehicle:
Separate accounts 990
Asset mix:
Stocks 79%
Bonds 19%
Cash 2%
Client contact: Michael Malone
Bennett Lawrence Management LLC
757 Third Ave., 19th Floor, New York, NY 10017; phone: (212) 508-6400; fax: (212) 593-9647
($ millions)
Total DC assets 179
Internally managed 179
Plan type:
Profit-sharing 179
Asset mix:
Stocks 92%
Cash 8%
Client contact: Brendan Contant
Berger Associates Inc.
210 University Blvd., Suite 900, Denver, CO 80208; phone: (303) 336-4588; fax: (303) 322-0369; www.bergerfunds.com
($ millions)
Total DC assets 600
Internally managed 475
Plan type:
401(k) 450
403(b) 10
457 15
Investment vehicle:
Mutual funds 200
Separate accounts 275
Asset mix:
Stocks 100%
Client contact: David Mertens
Sanford C. Bernstein & Co.
767 Fifth Ave., New York, NY 10153; phone: (212) 486-5800; fax: (212) 756-4558
($ millions)
Total DC assets 7,790
Internally managed 7,790
Plan type:
401(k) 1,549
457/403(b) 6,241
Investment vehicle:
Mutual funds 290
Separate accounts 7,195
Other commingled 305
Asset mix:
Stocks 71.4%
Bonds 5.1%
Stable value 6.7%
Other 16.8%
Client contact: Philip Clark
Bessemer Trust Co.
630 Fifth Ave., New York, NY 10111; phone: (212) 708-9311; fax: (212) 265-5826; www.bessemer.com
($ millions)
Total DC assets 193
Internally managed 193
Bidwell & Riddle Investment Advisory
c/o J. Stephan & Co. Inc., 801 W. 47th St., Suite 201, Kansas City, MO 64112; phone: (816) 531-7099; fax: (816) 531-7095;
www.bidwellriddle.com
($ millions)
Total DC assets 47
Internally managed 47
Plan type:
401(k) 1
Profit-sharing 46
Investment vehicle:
Separate accounts 47
Asset mix:
Stocks 87%
Bonds 7%
Cash 6%
Client contact: William Horton
BlackRock Financial Management Inc.
345 Park Ave., 29th Floor, New York, NY 10154; phone: (212) 754-5560; fax: (212) 935-1370; www.blackrock.com
($ millions)
Total DC assets 2,780
Internally managed 2,780
Plan type:
401(k) 1,901
403(b) 621
457 258
Investment vehicle:
Separate accounts 2,780
Asset mix:
Stocks 0.8%
Bonds 93.4%
Cash 5.8%
Client contact: Barbara Novick
Boston Financial Management Inc.
40 Broad St., Suite 1010, Boston, MA 02109; phone: (617) 338-8108; fax: (617) 338-4079
($ millions)
Total DC assets 61
Internally managed 61
Investment vehicle:
Separate accounts 61
Asset mix:
Stocks 49%
Bonds 50%
Cash 1%
Client contact: John Abbott
Brandes Investment Partners LP
12750 High Bluff Drive, San Diego, CA 92130; phone: (619) 755-0239; fax: (619) 755-0916
($ millions)
Total DC assets 10
Internally managed 10
Plan type:
401(k) 10
Investment vehicle:
Separate accounts 10
Asset mix:
Stocks 100%
Client contact: Betsy Blodgett
Stacey Braun Associates
377 Broadway, New York, NY 10013; phone: (212) 226-7707; fax: (212) 941-0759
($ millions)
Total DC assets 840
Internally managed 840
Plan type:
Taft-Hartley 840
Investment vehicle:
Separate accounts 840
Asset mix:
Stocks 10%
Bonds 77%
Cash 13%
Client contact: Martin Wexler
Bridgewater Associates Inc.
1 Glendinning Place, Westport, CT 06880; phone: (203) 226-3030; fax: (203) 291-7300; www.bridgewaterassociates.com
($ millions)
Total DC assets 806
Internally managed 806
Investment vehicle:
Separate accounts 806
Asset mix:
Bonds 100%
Client contact: William Mahoney
Brown Brothers Harriman
59 Wall St., New York, NY 10005; phone: (212) 493-1818; fax: (212) 493-7971
($ millions)
Total DC assets 425
Internally managed 425
Plan type:
401(k) 425
Investment vehicle:
Separate accounts 425
Asset mix:
Stocks 55%
Bonds 45%
Client contact: Tim Connelly
J.W. Burns & Co. Inc.
6711 Towpath Road, East Syracuse, NY 13057; phone: (315) 449-1341; fax: (315) 449-1349;jwburns.com
($ millions)
Total DC assets 99
Internally managed 99
Plan type:
401(a) 99
Investment vehicle:
Separate accounts 99
Asset mix:
Stocks 95.1%
Bonds 3.7%
Cash 1.2%
Client contact: Edward Corassi
