SAFECO Mutual Funds
P.O. Box 34890, Seattle, Wash. 98124-1890; phone: (800) 278- 1985; fax: (206) 545-5439
SERVICES PROVIDED:
Investment management
Record-keeping/administration
On-going employee education
Project-based employee education
Plan design
Enrollment assistance
On-going employee communications
Newsletters
Video enrollment
A full-service bundled product is offered
800-NUMBER SERVICES:
Account balance
Account transfers
Live operators
Changes to contribution allocations
Loan request/processing
Performance data
Fund information
Retirement planning aid
INVESTMENT MANAGEMENT:
Daily account valuation is offered
Total defined contribution assets: $250 million
Management services are provided through:
Proprietary mutual funds, managed in-house
Separate account management
Record-keeping/administrative services are supplied through:
*An in-house department
Contact: Leslie Eggerling
SBC Systems Corp.
30 Perimeter Center E., Suite 203, At lanta, Ga. 30346; phone: (404) 399- 6321; fax: (404) 399-6322
SERVICES PROVIDED:
Plan administration software
A full-service bundled product is not offered
INVESTMENT MANAGEMENT:
Defined contribution clients: 50
Contact: Runae Sawdey
Scudder Investor Services
345 Park Ave., New York, N.Y. 10154-0010; phone: (212) 326- 6661; fax: (212) 980-3314
SERVICES PROVIDED:
Investment management
Record-keeping/administration
On-going employee education
Project-based employee education
Plan design
Enrollment assistance
On-going employee communications
Toll-free telephone voice-response system
Trustee and custodial services
A full-service bundled product is offered
800-NUMBER SERVICES:
Account balance
Account transfers
24-hour access
Live operators
Changes to contribution allocations
Loan request/processing
Performance data
Fund information
Retirement planning aid
INVESTMENT MANAGEMENT:
Daily account valuation is offered
Total defined contribution assets: $1.5 billion
Defined contribution clients: 500
No. of participants in client plans: 95,000
Management services are provided through:
Proprietary mutual funds, run in-house
Commingled funds, run in-house
GICs
Five collective investment trusts
Record-keeping/administrative services are supplied through:
An in-house department
Contact: Jon R. Yenor
The Segal Co.
1 Park Ave., New York, N.Y. 10016; phone: (212) 251-5000; fax: (212) 251-5490
SERVICES PROVIDED:
Investment management
Record-keeping/administration
On-going employee education
Project-based employee education
Plan design
Enrollment assistance
On-going employee communications
Toll-free, telephone voice-response system
Administration services/IRS 5500 reporting
On-line account access
Full communication services
DC consulting services/compliance review
Comprehensive benefit statements
Daily account valuation is offered
A full-service bundled product is offered
800-NUMBER SERVICES:
Account balance
Account transfers
24-hour access
Changes to contribution allocations
Loan request/processing
Performance data
Fund information
Retirement planning aid
Defined contribution clients: 110
No. of participants in client plans: 60,000
Management services are provided through:
An alliance
Record-keeping/administrative services are supplied through:
An in-house department
Alliance partners:
Charles Schwab & Co., Dreyfus Corp. and Aetna Capital Management Inc., all for investment and trustee-related services
Contact: Robert A. Liberto
Selected/Venture Advisers
124 E. Marcy St., Santa Fe, N.M. 87501; phone: (505) 983-4335; fax: (505) 983-6019
SERVICES PROVIDED:
Investment management
Record-keeping/administration
Plan design
Enrollment assistance
On-going employee communications
Toll-free, telephone voice-response system
Daily account valuation
A full-service bundled product is offered
800-NUMBER SERVICES:
Account balance
Account transfers
24-hour access
Live operators
Changes to contribution allocations
Performance data
Fund information
INVESTMENT MANAGEMENT:
Total defined contribution assets: $85 million
No. of participants in client plans: 18,072
Management services are provided through:
Proprietary mutual funds, run in-house
Record-keeping/administrative services are supplied through:
An in-house department
A third-party administrator
Contact: Carl R. Luff
Shawmut Investment
Advisers
1 Federal St., Boston, Mass. 02211; phone: (617) 292-4385; fax: (617) 292-2412
SERVICES PROVIDED:
Investment management
Record-keeping/administration
Plan design
Enrollment assistance
On-going employee communications
Toll-free, telephone voice-response system
Daily account valuation
Trustee services
Deferred compensation packages
A full-service bundled product is offered
800-NUMBER SERVICES:
Account balance
Account transfers
24-hour access
Live operators
Changes to contribution allocations
Loan request/processing
INVESTMENT MANAGEMENT:
Total defined contribution assets: $1.6 billion
Defined contribution clients: 410
No. of participants in client plans: 50,000
Management services are provided through:
Private label mutual funds, run externally
Commingled funds, run in-house
Commingled funds, run externally
An alliance
Record-keeping/administrative services are supplied through:
An in-house department
Contact: Michael McKenzie
Signet Trust Co.
701 E. Franklin St., Richmond, Va. 23219; phone: (800) 289-7099; fax: (804) 644-6330
SERVICES PROVIDED:
Investment management
Record-keeping/administration
On-going employee education
Project-based employee education
Plan design
Enrollment assistance
On-going employee communications
Toll-free, telephone voice-response system
Daily account valuation
Compliance consulting
A full-service bundled product is offered
800-NUMBER SERVICES:
Account balance
Account transfers
24-hour access
Live operators
Changes to contribution allocations
INVESTMENT MANAGEMENT:
Total defined contribution assets: $425 million
Defined contribution clients: 295
No. of participants in client plans: 24,200
Management services are provided through:
Proprietary mutual funds, run in-house
Private label mutual funds, run externally
Commingled funds, run in-house
Record-keeping/administrative services are
supplied through:
An in-house department
Contact: C. Gregory Weirich
430 First Ave. N., Suite 720, Minneap olis, Minn. 55401; phone: (612) 338-7020; fax: (612) 338-7034
SERVICES PROVIDED:
On-going employee education
Project-based employee education
On-going employee communications
Investment manager/fund selection
Statement of investment objectives/policies
Investment performance evaluation
Record-keeper, custodian and administratorselection
A full-service bundled product is not offered
Defined contribution clients: 30
No. of participants in client plans: 20,000
Contact: Jeffrey Slocum
Smith Hayes Financial
Services Inc.
1225 L St., Lincoln, Neb. 68508; phone: (402) 476-3000; fax: (402) 476-6909
SERVICES PROVIDED:
Investment management
Record-keeping/administration
On-going employee education
Project-based employee education
Plan design
Enrollment assistance
On-going employee communications
Toll-free, telephone voice-response system
Daily account valuation
Special after-tax investments for employees
Personalized financial statement
Video tapes
Investment organizers
A full-service bundled product is offered
800-NUMBER SERVICES:
Account balance
Account transfers
24-hour access
Live operators
Performance data
Fund information
Retirement planning aid
Investment advice/counseling
INVESTMENT MANAGEMENT:
Total defined contribution assets: $100 million
Defined contribution clients: 60
No. of participants in client plans: 6,000
Management services are provided through:
Proprietary mutual funds, run in-house
Private label mutual funds, run externally
Record-keeping/administrative services are supplied through:
A third-party administrator
Contact: George W. Peterson
Society National Bank
127 Public Square; Cleveland, Ohio 44114; phone: (216) 689-5182; fax: (216) 689-5265
SERVICES PROVIDED:
Investment management
Record-keeping/administration
On-going employee education
Plan design
Enrollment assistance
On-going employee communications
Toll-free, telephone voice-response system
A full-service bundled product is offered
800-NUMBER SERVICES:
Account balance
Account transfers
24-hour access
Live operators
Changes to contribution allocations
Loan request processing
Performance data
Fund information
Retirement planning aid
INVESTMENT MANAGEMENT:
Daily account valuation is offered
Total defined contribution assets: $4.23 billion
Defined contribution clients: 1,100
No. of participants in client plans: 300,000
Management services are provided through:
Proprietary mutual funds, run in-house
GICs
Record-keeping/administrative services are supplied through:
*An in-house department
Contact: Timothy J. Connors
Southeastern Advisory
Services Inc.
10 Piedmont Center, Suite 302, At lanta, Ga. 30305; phone: (404) 237- 3156; fax: (404) 237-2650
SERVICES PROVIDED:
Investment management
On-going employee education
Project-based employee education
On-going employee communications
Investment manager searches
Record-keeper searches
A full-service bundled product is not offered
Defined contribution clients: 10
No. of participants in client plans: 5,000
Management services are provided through:
Private label mutual funds, run externally
Commingled funds, run externally
An alliance
Alliance partner:
Callan, through the IMI program
Contact: John Small
State Street Bank & Trust
200 Newport Ave., North Quincy, Mass. 02171; phone: (617) 985- 2162; fax: (617) 985-7252
SERVICES PROVIDED:
Investment management
Record-keeping/administration
On-going employee education
Project-based employee education
Plan design
On-going employee communication
Enrollment assistance
Toll-free, telephone voice-response system
Trust services
Employer stock management
GIC management
A full-service bundled product is offered
800-NUMBER SERVICES:
Account balance
Account transfers
24-hour access
Live operators
Changes to contribution allocations
Loan request processing
Performance data
Fund information
Retirement planning aid
INVESTMENT MANAGEMENT:
Daily account valuation is offered
Total defined contribution assets: $26.3 billion
Defined contribution clients: 124
No. of participants in client plans: 800,000
Management services are provided through:
Commingled funds, run in-house
GICs
Brokerage services
Record-keeping/administrative services are supplied through:
An in-house department
Contact: Joseph Eck
Stratford Advisory Group
500 W. Madison St., Suite 2960, Chicago, Ill. 60661; phone: (312) 902-1985; fax: (312) 902-1984
SERVICES PROVIDED:
Investment management
On-going employee education
Project-based employee education
Investment policy development
Investment structure
Investment manager search and selection
Performance measurement and evaluation
A full-service bundled product is not offered
INVESTMENT MANAGEMENT:
Daily account valuation is not offered
Total defined contribution assets: $30 million
Defined contribution clients: 6
Management services are provided through:
Manager of managers
Contact: Kathleen A. Crowley
SunBank Capital
Management N.A.
200 S. Orange Ave., Orlando, Fla. 32801; phone: (407) 237-4352; fax: (407) 237-4285
SERVICES PROVIDED:
Investment management
Record-keeping/administration
On-going employee education
Plan design
Enrollment assistance
On-going employee communications
Toll-free, telephone voice-response system
Daily account valuation
A full-service bundled product is offered
800-NUMBER SERVICES:
Account balance
Account transfers
24-hour access
Changes to contribution allocations
Loan request/processing
INVESTMENT MANAGEMENT:
Total defined contribution assets: $13.5 billion
Defined contribution clients: 300
No. of participants in client plans: 38,000
Management services are provided through:
Proprietary mutual funds, run in-house
Commingled funds, run in-house
Record-keeping/administrative services are supplied through:
An in-house department
Contact: Victor A. Zollo Jr.
