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2002 Defined Contributions Directory
Here's our list of U.S. defined contributions providers, consulting firms and plan administrators.
Here's our list of U.S. defined contributions providers, consulting firms and plan administrators.
By Erika Ihara
June 2002
Institutional Investor Magazine
A year ago the 401(k) industry fretted about the demise of the bull market and the decline in assets under management. They were right to worry: Assets dropped by $72 billion, to $1.77 trillion, in 2000 and then to $1.64 trillion in 2001. But ever since Enron Corp.'s collapse swallowed up more than $1 billion in 401(k) accounts, nervous plan providers have had something else to concern them: the fate of pension reform on Capitol Hill.
Members of Congress stepped forward with various proposals to "fix" the nation's 401(k) system so that employee retirement plans would be protected from the next Enron. Now - no surprise - 401(k) reform is stalled in a highly partisan Congress.
In April the GOP-controlled House of Representatives voted 255,163 to pass legislation that would allow 401(k) plan participants to sell company stock that their employers contributed as a match after three years. The bill also gives employees advance notice of blackout periods during which they are barred from making transactions, and it prohibits top executives from selling shares they hold outside the plan during a blackout. The House bill, which closely tracks the Bush administration's pension reform proposals, also makes it easier for employers to provide access to investment advice.
In the Democrat-controlled Senate, meanwhile, the Health, Education, Labor and Pensions Committee, chaired by Massachusetts Senator Edward Kennedy, approved a 401(k) reform bill - strongly opposed by the business lobby - by an 11,10 party-line vote. The legislation would create a separate "office of participant advocacy" within the U.S. Department of Labor where employees could register complaints.
The Senate Finance Committee has yet to produce a bill of its own, and pension reform advocates are pushing the group to produce legislation that looks more like the Kennedy bill than the House bill. "We'd rather have no bill than a bad bill, and the House bill is a bad bill," says Karen Friedman, director of policy strategies at the Pension Rights Center. Once the Finance Committee produces legislation, Senate Majority Leader Tom Daschle will have to cobble together pieces of both bills to put legislation to a vote before the full Senate.
Edward Ferrigno, vice president of Washington affairs at the Profit Sharing/401k Council of America, suggests that pension reform isn't proving to be the potent political issue that the Democrats had hoped it would be in the coming midterm congressional elections. Says Ferrigno, "It just doesn't have the political juice they thought it would have." Still, it's something for plan providers to think about.
The directory was compiled by Assistant Editor Erika Ihara.
2002 Defined Contributions Directory
Aegon Institutional Markets
400 W. Market
Louisville, KY 40202
Tel.: (502) 560-2016
Fax: (502) 560-4343
Web site: http://www.aegoninstitutional.com/
Contact: Aruna Hobbs
Defined contribution assets: $33.1 billion
Services: Asset management
AIM Management Group
11 Greenway Plaza
Ste 100
Houston, TX 77046
Tel.: (713) 347-1919
Fax: (713) 214-4830
Web site:
http://www.aimfunds.com/
Contact: John Cooper
(713) 214-7647
Defined contribution assets: $11 billion
93% in 401(k) plans
Bundled clients: 7
Services: Trustee, recordkeeping and administration, education, participant investment advice, self-directed brokerage account/window, legislative support and information, Internet services, toll-free voice response system
Fred Alger Management
111 Fifth Ave.
New York, NY 10003
Tel.: (212) 806-8800
Fax: (212) 806-2942
Web site: http://www.fredalger.com/
Contact: Lenore Thornton
(212) 806-2960
Defined contribution assets: $2.1 billion 72% in 401(k) plans
Services: Education, Internet services, toll-free voice response system
American Express Retirement Services
200 AXP Financial Ctr
Minneapolis, MN 55474
Tel.: (612) 671-3131
Fax: (612) 547-2781
Web site:
www.americanexpress.com/retirement
Contact: Chris Matzke
(612) 671-1637
Defined contribution assets: $55 billion 75% in 401(k) plans
Clients: 485
Bundled clients: 385
Total participants:
1.1 million
Services: All,* except
manager searches
American United Life
Insurance Co.
1 American Sq.
P.O. Box 368
Indianapolis, IN 46206
Tel.: (317) 285-1877
Fax: (317) 285-1956
Contact: Michael Grimme
(317) 285-1245
Defined contribution assets: $6.2 billion 62% in 401(k) plans (all bundled)
Total participants: 507,000
Services: Performance monitoring, plan design, trustee, legal and compliance, recordkeeping and administration, education, participant investment advice, foreign language communications, self-directed brokerage account/window, legislative support and information, Internet services, toll-free voice response system
Ameritas Life Insurance Corp.
5800 O St.
Lincoln, NE 68510
Tel.: (402) 467-1122
Fax: (402) 467-7952
Web site: http://www.ameritas.com/
Contact: Jessie Ellen Waller
(402) 467-7332
Defined contribution assets: $718 million 45% in 401(k) plans
Clients: 534 (all bundled)
Total participants: 45,218
Services: Performance monitoring, plan design, legal and compliance, recordkeeping and administration, education, self-directed brokerage/window, Internet services, toll-free voice response system
AMR Investment Services
4151 Amon Carter Blvd
MD 2450
Fort Worth, TX 76155
Tel.: (817) 967-3509
Fax: (817) 967-0768
Web site: http://www.aafunds.com/
Contact: Bart Roberson
(817) 967-3513
Defined contribution
assets: $4.6 billion
100% in 401(k) plans
Clients: 38
Services: Manager searches, performance monitoring, plan design, trustee, Internet Services, toll-free voice response system
Amsouth Bank
1901 Sixth Ave. N.
4th fl.
Birmingham, AL 35203
Tel.: (205) 801-0287
Fax: (205) 581-7390
Web site: http://www.amsouth.com/
Contact: Sherry Stephens
Defined contribution assets: $543 million
58% in 401(k) plans
Clients: 950
Bundled clients: 475
Total participants: 102,861
Services: Plan design, trustee, legal and compliance, recordkeeping and administration, education, foreign language communications, self-directed brokerage account/window, legislative support and information, Internet services, toll-free voice response system
Axa Financial/Equitable
1290 Ave. of the Americas
New York, NY 10104
Tel.: (201) 583-2391
Fax: (201) 583-2953
Web site: http://www.equitable.com/
Contact: Santo Loporto
Defined contribution
assets: $14.3 billion
41% in 401(k) plans
Clients: 45,893
Bundled clients: 15,258
Total participants: 702,774
Services: Performance monitoring, plan design, trustee, legal and compliance, recordkeeping and administration, education, participant
investment advice, self-directed brokerage account/window,
legislative support and information, Internet services, toll-free voice response system
Banc One Investment Management Group
1111 Polaris Pkwy, Ste F2
Columbus, OH 43217
Tel.: (317) 756-1390
Fax: (317) 592-5903
Web site: http://www.bankone.com/
Contact: Greg Weber
Defined contribution
assets: $8.7 billion
80% in 401(k) plans
Clients: 1,553
(all bundled)
Total participants: 239,350
Services: All, except
manager searches
Bank of New York Employee Investment Plans
1 Wall St.
New York, NY 10286
Tel.: (212) 635-7323
Fax: (212) 635-7141
Web site: http://www.bnyretire.com/
Contact: George Mazzella
Defined contribution
assets: $6.5 billion
88% in 401(k) plans
Clients: 583
Bundled clients: 547
Total participants: 40,000
Services: Plan design, trustee, legal and compliance, recordkeeping and administration, education, foreign language communications, self-directed brokerage account/window, legislative support and information, Internet services, toll-free voice response system
Barclays Global
Investors
45 Fremont St.
San Francisco, CA 94105
Tel.: (415) 597-2000
Fax: (415) 597-2010
Web site: http://www.barclaysglobal.com/
Contact: Matt Scanlan
(415) 597-2200
Defined contribution
assets: $110.6 billion
65% in 401(k) plans
Clients: 339
Total participants:
25 million
Services: Asset management, Internet services
Brown Brothers Harriman & Co.
40 Water St.
Boston, MA 02109
Tel.: (617) 772-1818
Fax: (617) 772-2350
Web site: http://www.bbh.com/
Defined contribution assets: $1 billion
65% in 401(k) plans
Clients: 100 (all bundled)
Services: Performance monitoring, plan design, trustee, legal and compliance, recordkeeping and administration, education, participant investment advice, foreign language communications, self-directed brokerage account/window, Internet services, toll-free voice response system
Calvert
4550 Montgomery Ave. Ste 1000N
Bethesda, MD 20814
Tel.: (301) 951-4800
Fax: (301) 654-7820
Web site: http://www.calvert.com/
Contacts: Blair Cahoon, Steve Himber
Defined contribution assets: $1.2 billion
18% in 401(k) plans
Services: Asset management
Capital Guardian Trust Co.
333 S. Hope St.
Los Angeles, CA 90071
Tel.: (213) 486-9049
Fax: (213) 486-9625
Web site: http://www.capgroup.com/
Contact: Kyle Colburn
Defined contribution
assets: $5.9 billion
80.3% in 401(k) plans
Clients: 63
Services: Asset management
Capital Research and Management Co.
333 S. Hope St.
Los Angeles, CA 90071
Tel.: (213) 486-2000
Fax: (213) 486-8511
Web site: http://www.americanfunds.com/
Contact: Drew Taylor (213) 486-9048
Defined contribution assets: $203.5 billion
12.7% in 401(k) plans
Services: Trustee, recordkeeping and administration, education, foreign language communications, self-directed brokerage account/window, Internet services, toll-free voice response system
Certus Asset Advisors
1 Bush St., Ste 450
San Francisco, CA 94104
Tel.: (415) 399-4450
Fax: (415) 399-4499
Web site: http://www.certusadvisors.com/
Contact: Megan Hart
(415) 399-4456
Defined contribution
assets: $8.5 billion
98% in 401(k) plans
Services: Performance monitoring, legal and compliance, education, legislative support and information, Internet services
Cigna Retirement & Investment Services
280 Trumbull St.
Hartford, CT 06103
Tel.: (860) 534-3734
Fax: (860) 534-2052
Web site: http://www.cigna.com/
Contact: Dean Houldcroft
Defined contribution assets: $30.3 billion
80% in 401(k) plans
Clients: 2,659 (all bundled)
Total participants:
1.1 million
Services: All
International:
Vol. of defined
contribution business outside the U.S.: $35 million
Countries with defined contribution clients/
offices: Brazil, Japan
CNA
CNA Plaza
35th fl.
Chicago, IL 60685
Tel.: (312) 822-7396
Fax: (312) 822-6876
Web site: http://www.cna.com/
Contact: Ralph Vuono Jr.
Defined contribution
assets: $1.4 billion
95% in 401(k) plans
Services: Asset management
Columbia Funds
1300 S.W. Sixth Ave.
Portland, OR 97201
Tel.: (503) 222-3600
Fax: (503) 973-6662
Web site: http://www.columbiafunds.com/
Contact: Robert Noack (503) 795-6335
Defined contribution assets: $2.1 billion
70% in 401(k) plans
Clients: 2,600
Bundled clients: 1,030
Total participants: 53,870
Services: Performance monitoring, plan design, trustee, legal and compliance,
recordkeeping and administration, education, participant investment advice, foreign language communications, legislative support and information, Internet services, toll-free voice response system
Columbia Management Group
590 Madison Ave., 36th fl.
New York, NY 10022
Tel.: (212) 893-7243
Fax: (212) 893-7191
Web site: www.fleet.com/retirement
Contact: Elliot Wislar
Defined contribution
assets: $34 billion 90% in 401(k) plans
Clients: 1,260
Bundled clients: 850
Total participants: 600,000
Services: All
Comerica Bank Retirement Services Department
411 W. Lafayette
Mail Code 3467
Detroit, MI 48226
Tel.: (313) 222-4155
Fax: (313) 222-6641
Web site: http://www.comerica.com/
Contact: Maurice Shane (313) 222-4638
Defined contribution assets: $3.2 billion
93% in 401(k) plans
Clients: 528
Bundled clients: 519
Total participants: 160,000
Services: Performance monitoring, plan design, trustee, legal and compliance, recordkeeping and administration, education, foreign language
communications, self-directed brokerage account/window, legislative support and information, Internet services, toll-free voice response system
Dean Investment Associates
2480 Kettering Tower
Dayton, OH 45423
Tel.: (937) 222-0282
Fax: (937) 227-9310
Web site: http://www.chdean.com/
Contact: Martin Flesher
Defined contribution assets: $216.5 million 5% in 401(k) plans
Clients: 193
Services: Performance monitoring, plan design, recordkeeping and administration, education, participant investment advice, legislative support and information, Internet services, toll-free voice response system
Delaware Investments/Retirement Financial Services
2005 Market St.
Philadelphia, PA 19103
Tel.: (215) 255-1511
Fax: (215) 255-1234
Web site: http://www.delawareinvestments.com/
Contact: John Ring
Defined contribution assets: $8 billion 89% in 401(k) plans
Clients: 13,167 (all bundled)
Services: All, except
manager searches
Denver Investment Advisors
1225 17th St., 26th fl.
Denver, CO 80202
Tel.: (303) 312-5000
Fax: (303) 312-4900
Web site: http://www.denveria.com/
Contact: Terri Baldwin (303) 312-5024
Defined contribution
assets: $5.7 million
100% in 401(k) plans
Clients: 4
Services: Asset management
Diversified Investment Advisors
4 Manhattanville Rd
Purchase, NY 10577
Tel.: (914) 697-8000
Fax: (914) 697-3617
Web site: http://www.divinvest.com/
Contact: Laura White (914) 697-8680
Defined contribution assets: $27 billion 65% in 401(k) plans
Clients: 2,400
Bundled clients: 2,300
Total participants: 1 million
Services: All
Dresdner RCM Global Investors
4 Embarcadero Ctr
Ste 2900
San Francisco, CA 94111
Tel.: (415) 954-5400
Fax: (415) 954-8200
Web site: http://www.dresdnerrcm.com/
Contact: Dawn Vroegop
(415) 954-5445
Defined contribution assets: $1.9 billion 47% in 401(k) plans
Clients: 23
Services: Asset
management
Dreyfus Founders Funds
2930 E. Third Ave.
Denver, CO 80206
Tel.: (303) 394-7883
Fax: (303) 394-7849
Web site: http://www.founders.com/
Contact: Angelo Barr
Defined contribution assets: $900 million 95% in 401(k) plans
Services: Asset
management
Eads & Heald Investment Counsel
2100 Riveredge Pkwy
Ste 760
Atlanta, GA 30328
Tel.: (770) 988-9556
Fax: (770) 988-9378
Web site: http://www.eadsheald.com/
Contact: Thomas Heald
Defined contribution
assets: $309.6 million
Services: Asset management
Federated Investors
1001 Liberty Ave.
Pittsburgh, PA 15317
Tel.: (412) 288-1900
Fax: (412) 288-2925
Web site: http://www.federatedinvestors.com/
Contact: James Heaton (412) 288-6588
Defined contribution
assets: $12.8 billion
Bundled clients: 144
Total participants: 77,661
Services: All
Fidelity Investors
82 Devonshire St.
Boston, MA 02472
Tel.: (508) 787-6889
Web site: http://www.fidelity.com/
Contacts: FESCo, FIRSCo: Joe Dattilo (508) 787-6889; FITSCo: Steve
Keating (508) 787-7207; FMTC: Richard Horlick (617) 392-8688; FIIS (617) 563-1764
Defined contribution assets: $332.4 billion
83% in 401(k) plans
Clients: 22,524
Bundled clients: 21,218
Total participants: 9.6 million
Services: Performance monitoring, plan design, trustee, legal and compliance, recordkeeping and administration, education, foreign language communications, self-directed brokerage account/window, legislative support and information, Internet services, toll-free voice response system
International: Vol. of defined contribution business outside the U.S.: $3.3 billion
Countries with established defined contribution clients/offices/products: Bermuda, Canada, Channel Islands, Hong Kong, Isle of Man, Japan, U.K.
Fiduciary Capital Management
51 Sherman Hill Rd
P.O. Box 449
Woodbury, CT 06798
Tel.: (203) 266-0440
Fax: (203) 266-4745
Web site: http://www.fcmstablevalue.com/
Contact: Peter Bowles
Defined contribution
assets: $1.1 billion
Clients: 28
Services: Manager searches, performance monitoring
Fifth Third Bank
38 Fountain Sq. Plaza
Cincinnati, OH 45263
Tel.: (513) 579-5300
Fax: (513) 534-8177
Web site: retire.53.com
Contact: Joe Kerrigan
(513) 579-5679
Defined contribution
assets: $6.6 billion
76% in 401(k) plans
Clients: 1,579
Bundled clients: 1,484
Total participants: 206,000
Services: All, except manager searches
First Mercantile Trust Co.
57 Germantown Court
4th fl.
Cordova, TN 38018
Tel.: (901) 753-9080
Fax: (901) 753-9863
Web site: http://www.firstmerc.com/
Contact: Ray Zittlow
(320) 240-0381
Defined contribution
assets: $18 billion
98% in 401(k) plans
Clients: 2,300
Bundled clients: 1,000
Total participants: 200,000
Services: All
Franklin Templeton Investments
1 Franklin Pkwy
San Mateo, CA 94403
Tel.: (650) 312-2000
Fax: (954) 527-2137
Web site: http://www.franklin-templeton.com/
Contact: Rick Frisbie (650) 312-3059
Defined contribution assets: $15.2 billion 83% in 401(k) plans
Services: Performance monitoring, plan design, trustee, legal and
compliance, recordkeeping and administration, education, foreign language communications, toll-free voice response system
Gabelli Asset Management
1 Corporate Ctr
Rye, NY 10580
Tel.: (914) 921-5000
Fax: (914) 921-5060
Web site: http://www.gabelli.com/
Contact: Douglas Jamieson (914) 921-5020
Defined contribution
assets: $2.4 billion
19% in 401(k) plans
Clients: 1,407
Bundled clients: 17
Total participants: 11,108
Services: All, except performance monitoring
Galliard Capital Management
800 LaSalle Ave.
Ste 2060
Minneapolis, MN 55402
Tel.: (612) 667-3210
Fax: (612) 667-3223
Web site: http://www.galliard.com/
Contact: Mike Norman (612) 667-3219
Defined contribution
assets: $7.6 billion
76% in 401(k) plans
Clients: 40
Services: Asset management
Gartmore Morley Financial Services
5665 S.W. Meadows Rd Ste 400
Lake Oswego, OR 97035
Tel.: (503) 620-7899
Fax: (503) 603-2290
Web site: http://www.gartmoremorley.com/
Contact: Simon Acheson (800) 548-4806
Defined contribution assets: $9 billion 75% in 401(k) plans
Clients: 5,000
Services: Trustee, education, Internet services, toll-free voice response system
GE Asset Management
201 Merritt 7
P.O. Box 4800
Norwalk, CT 06856-4800
Tel.: (203) 229-5325
Fax: (203) 229-5016
Web site: http://www.geassetmanagement.com/
Contact: Jack Boyce
Defined contribution assets: $7.2 billion
100% in 401(k) plans
Clients: 82
Bundled clients: 74
Total participants: 259,475
Services: All, except manager searches
Great-West Life Family of Cos.
850 E. Orchard Rd
Greenwood Village, CO 80111
Tel.: (303) 737-3000
Fax: (303) 334-3030
Web site: www.gwla.com/benefits
Contact: Robert McCallum
(303) 737-2024
Defined contribution assets: $42 billion
36% in 401(k) plans
Clients: 12,042
Bundled clients: 11,922
Total participants: 2.5 million
Services: All
Guardian Life Insurance Co.
of America
7 Hanover Sq., 19th fl.
New York, NY 10004
Tel.: (212) 598-1408
Fax: (212) 919-2934
Web site: http://www.guardianretirement.com/
Contact: Jennifer Putney
Defined contribution assets: $2.6 billion 95% in 401(k) plans
Clients: 6,200
Bundled clients; 5,900
Total participants: 200,000
Services: Performance monitoring, plan design, trustee, recordkeeping and administration, education, foreign language communications, self-directed brokerage account/window, Internet services, toll-free voice response system
The Hartford
200 Hopmeadow St.
Simsbury, CT 06089
Tel.: (860) 843-6046
Fax: (860) 843-5316
Web site: http://www.retire.hartfordlife.com/
Contact: Christine Chaia
Defined contribution assets: $15.9 billion
27% in 401(k) plans
Clients: 6,100
Bundled clients: 3,950
Total participants: 390,000
Services: All, except manager searches
HSBC Bank USA
1 HSBC Ctr
Buffalo, NY 14203
Tel.: (716) 841-2648
Fax: (716) 841-4244
Web site: http://www.401k.us.hsbc.com/
Defined contribution assets: $4.6 billion
58% in 401(k) plans
Clients: 490 (all bundled)
Total participants: 130,000
Services: All, except manager searches
ING
151 Farmington Ave.
Hartford, CT 06156
Tel.: (860) 273-3523
Fax: (860) 273-3940
Web site: http://www.ingretirementplans.com/
Contact: Frederick Swietek
Defined contribution
assets: $79 billion
49% in 401(k) plans
Clients: 34,106
Bundled clients: 33,207
Total participants:
2.3 million
Services: All
Institutional Capital Corp.
225 W. Wacker Dr.,
Ste 2400
Chicago, IL 60606
Tel.: (312) 424-9100
Fax: (312) 424-9187
Web site: http://www.icapfunds.com/
Contact: Gary Maurer
Defined contribution assets: $1.1 billion
100% in 401(k) plans
Clients: 32
Services: Asset management
Janus
100 Fillmore St., Ste 400
Denver, CO 80206
Tel.: (303) 333-3863
Fax: (303) 394-7697
Web site: http://www.janus.com/
Contact: Ken Paieski (800) 525-1068
Defined contribution assets: $39.7 billion
96% in 401(k) plans
Services: Asset management
King Investment Advisors
1980 Post Oak Blvd
Ste 2400
Houston, TX 77056-3898
Tel.: (713) 961-0462
Fax: (713) 961-5613
Web site: http://www.kingadvisors.com/
Contact: Roger King
Defined contribution
assets: $33.44 million
Clients: 5
Services: Performance monitoring, recordkeeping and administration
KR Capital Advisors
450 Park Ave.
New York, NY 10022
Tel.: (212) 888-6300
Fax: (212) 751-4542
Contact: Edward Klein
Defined contribution
assets: $421.2 million
100% in 401(k) plans
Clients: 1
Services: Asset management
Loomis, Sayles & Co.
1 Financial Ctr
Boston, MA 02111
Tel.: (617) 482-2450
Fax: (617) 443-0074
Web site: loomissayles.com
Contact: John Gallagher III
Defined contribution
assets: $2 billion
100% in 401(k) plans
Services: Asset management
Lord, Abbett & Co.
90 Hudson St.
Jersey City, NJ 07302
Tel.: (201) 395-2414
Fax: (201) 395-3414
Web site: http://www.lordabbett.com/
Contact: Daria Foster (201) 395-2808
Defined contribution assets: $2.5 billion
62% in 401(k) plans
Clients: 516
Bundled clients: 36,000
Services: Plan design, trustee, recordkeeping and administration, legislative support and information, Internet services, toll-free voice response system
Manning & Napier Advisors
1100 Chase Sq.
Rochester, NY 14604
Tel.: (716) 325-6880
Fax: (716) 325-5617
Web site: http://www.manningnapieradvisors.com/
Contact: Richard Barrington
Defined contribution assets: $1.1 billion
47% in 401(k) plans
Clients: 404
Bundled clients: 101
Services: Manager searches, performance monitoring, education, Internet services
Manulife Financial
73 Tremont St.
Boston, MA 02108
Tel.: (617) 854-4352
Fax: (617) 854-8787
Web site: http://www.manulife.com/
Contact: Kendall Kay
Defined contribution assets: $13.1 billion
90% in 401(k) plans
Clients: 19,351
Total participants: 853,357
Services: Recordkeeping and administration, foreign language communications, self-directed brokerage account/window, education, participant investment advice, Internet services, toll-free voice-response system
Marshall & Ilsley
Trust Co.
1000 N. Water St.
Milwaukee, WI 53202
Tel.: (414) 287-8600
Fax: (414) 287-7165
Web site: http://www.mitrust.com/
Contact: Tracy Straub (866) 418-9339
Defined contribution assets: $8 billion
64% in 401(k) plans
Clients: 940
Bundled clients: 842
Total participants: 320,000
Services: Plan design, trustee, legal and compliance, recordkeeping and administration, education, participant investment advice, foreign language communications, self-directed brokerage account/window, legislative support and information, Internet services, toll-free voice response system
MassMutual Financial Group
1295 State St.
Springfield, MA 01111
Tel.: (413) 744-4312
Fax: (413) 744-3201
Web site: www.massmutual.com/retire
Defined contribution assets: $23.5 billion
95% in 401(k) plans
Clients: 4,500 (all bundled)
Total participants: 575,000
Services: All
Mellon Capital Management
595 Market St., Ste 3000
San Francisco, CA 94105
Tel.: (415) 546-6056
Fax: (415) 975-2375
Web site: http://www.mcm.com/
Contact: Richard Foster
Defined contribution assets: $3.9 billion
100% in 401(k) plans
Clients: 34
Services: Asset management
Mellon HR Solutions
2100 N. Central Rd
Fort Lee, NJ 07024
Tel.: (201) 592-1300
Fax: (201) 592-9075
Web site: http://www.unifi.com/
Contact: Valerie Mammales
(201) 363-2836
Defined contribution assets: $33.9 billion
79% in 401(k) plans
Clients: 189 (all bundled)
Total participants: 1.2 million
Services: All, except manager searches
Merrill Lynch Investment Managers
800 Scudders Mill Rd
Plainsboro, NJ 08536
Fax: (609) 282-6090
Web site: http://www.mlim.ml.com/
Contact: George Antonak (401[k]) (609) 282-3609; Michael Brady (403[b] and 457) (617) 342-1619; Neal Howe
(consultant inquiries) (609) 282-2767
Defined contribution assets: $28.6 billion
98% in 401(k) plans
Services: Asset management
International: Vol. of defined contribution business outside the U.S.: $3.7 billion
Countries with established defined contribution clients/offices/products: U.K.
Retirement Group at Merrill Lynch
1400 Merrill Lynch Dr.
Pennington, NJ 08534
Tel.: (609) 274-9678
Fax: (609) 274-0454
Web site: www.benefits.ml.com/admin
Contact: John Rowe
Defined contribution assets: $144.2 billion
69% in 401(k) plans
Clients: 17,855
Bundled clients: 2,087
Total participants: 2.7 million
Services: All, except manager searches
Metlife
1 Madison Ave.
New York, NY 10010
Tel.: (212) 578-2211
Web site: http://www.metlife.com/
Contact: Gail Praslick (212) 578-3854
Defined contribution assets: $38.3 billion
77.2% in 401(k) plans
Clients: 19,910
Total participants: 2.7 million
Services: All, except manager searches
Vol. of defined contribution business outside the U.S.: $42.7 million
Countries with established defined contribution clients/products: Argentina, Mexico, Spain
MFS Investment Management
500 Boylston St.
Boston, MA 02116
Tel.: (617) 954-5000
Fax: (617) 954-6657
Web site: http://www.mfs.com/
Contact: John Campbell (617) 954-6824
Defined contribution
assets: $16.4 billion
100% in 401(k) plans
Clients: 8,211
Bundled clients: 759
Total participants: 513,839
Services: All, except manager searches
Miller/Howard Investments
324 Upper Byrdcliffe Rd
P.O. Box 549
Woodstock, NY 12498
Tel.: (845) 679-9166
Fax: (845) 679-5862
Web site: http://www.mhinvest.com/
Contact: Helen Hamada
Defined contribution assets: $66.1 million
100% in 401(k) plans
Clients: 1
Services: Asset management
J.P. Morgan/American Century Retirement Plan Services
4500 Main St.
Kansas City, MO 64111
Tel.: (816) 531-5575
Fax: (816) 340-7962
Web site: http://www.retireonline.com/
Contact: Melissa Hooker (816) 340-4843
Defined contribution assets: $43.4 billion
53% in 401(k) plans
Clients: 386
Bundled clients: 173
Total participants: 524,836
Services: All, except manager searches
Morgan Stanley Investment Management
1221 Ave. of the Americas
New York, NY 10020
Tel.: (212) 762-7400
Fax: (212) 762-7401
Web site: www.morganstanley.com/im
Contact: Ruth Hughes-Guden (212) 762-7381
Defined contribution assets: $13.2 billion
Services: Asset management
Munder Capital Management
480 Pierce St.
Birmingham, MI 48009
Tel.: (248) 647-9200
Fax: (248) 647-5931
Web site: http://www.munder401k.com/
Contact: Hilary Shulman, x1240
Defined contribution assets: $952 million
Services: Asset management
National City Retirement Plan Services
1900 E. 9th St.
Cleveland, OH 44114
Tel.: (216) 222-2446
Fax: (216) 222-2633
Web site: http://www.nationalcity.com/
Contact: Scott Kremer (216) 222-9695
Defined contribution assets: $6 billion
100% in 401(k) plans
Clients: 740 (all bundled)
Total participants: 150,000
Services: All
Nationwide Financial Services
One Nationwide Plaza
Columbus, OH 43215
Tel.: (614) 249-7111
Fax: (614) 249-7705
Web site: http://www.nationwide.com/
Contact: Molly Brinkman (614) 249-9944
Defined contribution assets: $23.7 billion
49% in 401(k) plans
Clients: 46,900
Bundled clients: 18,000
Total participants: 2.6 million
Services: Performance monitoring, plan design, trustee, recordkeeping and administration, education, participant investment advice, foreign language communications, self-directed brokerage account/window, Internet services, toll-free voice-response system
Neuberger Berman
605 Third Ave.
New York, NY 10158
Tel.: (212) 476-9000
Fax: (212) 476-8941
Web site: http://www.nb.com/
Contact: Brian Gaffney (212) 476-8923
Defined contribution assets: $3.7 billion
94% in 401(k) plans
Services: Asset management, trustee, education
New York Life Investment
Management
NYLIM Ctr
169 Lackawanna Ave.
Parsippany, NJ 07054
Tel.: (973) 394-3000
Web site: http://www.nylim.com/
Contact: Peter Rooney (973) 394-4302
Defined contribution assets: $17.8 billion
71% in 401(k) plans
Clients: 16,696
Bundled clients: 1,327
Total participants: 508,146
Services: All, except manager searches, foreign language
communications
NISA Investment
Advisors
150 N. Meramec Ave.
Ste 640
St. Louis, MO 63105
Tel.: (314) 721-1900
Fax: (314) 721-3041
Web site: http://www.nisanet.com/
Contact: Robert Krebs
Defined contribution assets: $1.8 billion
100% in 401(k) plans
Clients: 8
Services: Plan design
Ohio National Financial Services
1 Financial Way
Cincinnati, OH 45242
Tel.: (513) 794-6100
Fax: (513) 794-4704
Web site: http://www.ohionational.com/
Contact: Lee Putz
(513) 794-6627
Defined contribution assets: $1.5 billion
96% in 401(k) plans
Clients: 2,820
Bundled clients: 898
Total participants: 115,222
Services: Performance monitoring, plan design, legal and compliance, recordkeeping and dministration, education, Internet services, toll-free voice-response system
Oppenheimer Capital
1345 Ave. of the
Americas, 49th fl.
New York, NY 10105
Tel.: (212) 739-3000
Fax: (212) 739-3932
Web site: http://www.opcap.com/
Contact: Geoff Mullen (212) 739-3024
Defined contribution assets: $211.4 million
21% in 401(k) plans
Clients: 14
Services: Asset management
Pacific Life Insurance Co.
700 Newport Ctr Dr.
Newport Beach, CA 92660
Tel.: (949) 219-3011
Web site: http://www.pacificlife.com/
Contact: Richard Taube (949) 219-3106
Defined contribution assets: $5.1 billion
95% in 401(k) plans
Clients: 150
Services: Asset management
Pan-American Life Insurance Co.
601 Poydras St.
New Orleans, LA 70130
Tel.: (504) 566-1300
Fax: (504) 566-3813
Web site: http://www.wewill4u.com/
Contact: Rob Jennings (504) 566-3814
Defined contribution assets: $731.3 million
98% in 401(k) plans
Clients: 1,057
Bundled clients: 1,020
Total participants: 97,804
Services: All, except trustee, legal and compliance
PIMCO
840 Newport Ctr Dr.
Newport Beach, CA 92660
Tel.: (949) 720-6000
Fax: (949) 720-6332
Web site: http://www.pimco.com/
Contact: John Loftus (949) 720-6157
Defined contribution
assets: $25.2 billion
90% in 401(k) plans
Clients: 2,500
Services: Asset management, Internet services
Pioneer Investment Management
60 State St., Ste 1600
Boston, MA 02421
Tel.: (617) 742-7825
Fax: (617) 422-4277
Web site: http://www.pioneerfunds.com/
Contact: Steven Forss (800) 821-1239, x4710
Defined contribution assets: $1.9 billion
33.8% in 401(k) plans
Bundled clients: 1,291
Services: All, except manager searches
PNC Advisors
2 PNC Plaza
620 Liberty Ave.
Pittsburgh, PA 15222
Tel.: (732) 220-3357
Fax: (732) 220-3604
Web site: www.
retirementdirections.com
Contact: Dan Dunn
Defined contribution assets: $5.1 billion
90% in 401(k) plans
Clients: 863
Bundled clients: 618
Participants: 193,000
Services: All, except manager searches and participant investment advice
T. Rowe Price
100 E. Pratt St.
Baltimore, MD 21202
Tel.: (410) 345-2000
Fax: (410) 345-5873
Web site: http://www.rps.troweprice.com/
Contact: Heidi Walsh (410) 345-7783
Defined contribution assets: $64 billion
63% in 401(k) plans
Clients: 1,616
Bundled clients: 15
Total participants: 1.2 million
Services: All, except manager searches
Principal Financial Group
P.O. Box 9397
Des Moines, IA 50306
Tel.: (515) 235-9494
Fax: (515) 248-2118
Web site: http://www.principal.com/
Contact: Brian Turnis
Defined contribution assets: $51.8 billion
79% in 401(k) plans
Clients: 40,526
Bundled clients: 37,817
Total participants: 2.2 million
Services: All, except manager searches
Prudential Financial
3 Gateway Ctr, 12th fl.
Newark, NJ 07102
Tel.: (973) 367-1652
Fax: (973) 367-8080
Web site:
http://www.prudential.com/
Contact: Paul Swanson (800) 953-2847
Defined contribution
assets: $34.5 billion
71% in 401(k) plans
Clients: 894
Bundled clients: 870
Services: All
Putnam Investments
1 Post Office Sq.
Boston, MA 02109
Tel.: (617) 292-1000
Fax: (617) 760-8062
Web site: http://www.putnam.com/
Contact: Frank Porcelli (617) 760-1425
Defined contribution assets: $62.4 billion
94% in 401(k) plans
Clients: 4,824
Bundled clients: 2,140
Total participants: 1.7 million
Services: All, except manager searches
RS Investments
388 Market St.
Ste 1700
San Francisco, CA 94111
Tel.: (415) 591-2700
Fax: (415) 591-2855
Web site: http://www.rsinvestments.com/
Contact: David Elliott (415) 591-2732
Defined contribution assets: $900 million
80% in 401(k) plans
Clients: 104
Services: Asset management
Safeco Life and Investments
5069 154th Place N.E.
Redmond, WA 98052
Tel.: (800) 472-3326
Fax: (425) 376-5272
Web site: http://www.safeco.com/
Contact: Bob Follette (425) 376-5485
Defined contribution assets: $2.8 billion
15% in 401(k) plans
Clients: 10,900
Bundled clients: 10,150
Total participants: 95,000
Services: All, except manager searches, performance monitoring, trustee, participant investment advice
Charles Schwab
Corporate Services
4150 Kinross Lakes Pkwy
P.O. Box 5050
Richfield, OH 44286-5050
Tel.: (330) 908-4000
Web sites: http://www.schwabplan.com/ and http://www.schwab.com/
Contact: James Canode (877) 456-0777
Defined contribution assets: $31.5 billion
75% in 401(k) plans
Clients: 2,097
Bundled clients: 630
Total participants: 330,000
Services: All, except manager searches
Scudder Investments
2 International Place
Boston, MA 02110
Tel.: (617) 295-3802
Fax: (617) 443-7051
Web site: http://www.university.scudder.com/
Contact: Ron Cohen
(617) 295-3802
Defined contribution assets: $14.5 billion
65% in 401(k) plans
Clients: 18,039 (all bundled)
Total participants: 693,842
Services: All
Securian Retirement Services
(A business unit of Minnesota Life)
400 Robert St. N.
St. Paul, MN 55101-2098
Tel.: (651) 665-3500
Fax: (651) 665-5133
Web site: http://www.securian.com/
Contact: Terri McNamara (651) 665-4701
Defined contribution assets: $5.6 billion
55% in 401(k) plans
Clients: 2,800 (all bundled)
Total participants: 185,000
Services: All, except manager services
SEI Investments
1 Freedom Valley Dr.
Oaks, PA 19456-1100
Tel.: (610) 676-1000
Fax: (484) 676-1390
Web site: http://www.seic.com/
Contact: Alison Saunders (610) 676-1689
Defined contribution assets: $22 billion
70% in 401(k) plans
Services: All
International:
Vol. of defined contribution assets
outside the U.S.: $84.5 million
Countries with established defined contribution offices/products: Canada, Mexico, South Africa, U.K.
Seligman Advisors
100 Park Ave.
New York, NY 10017
Tel.: (212) 850-1800
Fax: (212) 922-5740
Web site: http://www.seligman.com/
Contact: Michele Rappa (212) 850-1412
Defined contribution
assets: $906 million
59% in 401(k) plans
Clients: 3,000
Bundled clients: 1,350
Services: Plan design, trustee, legal and
compliance, recordkeeping and administration, education, foreign language communications, legislative support and information, Internet services, toll-free voice response system
State Street Research & Management Co.
1 Financial Ctr, 30th fl.
Boston, MA 02111
Tel.: (617) 357-1200
Fax: (617) 951-9919
Web site: http://www.ssrinternational.com/
Contact:Christopher Abbott
Defined contribution assets: $5.4 billion
11% in 401(k) plans
Clients: 1,431 (all bundled)
Services: Asset management
Strong Retirement Plan Services
100 Heritage Reserve
Menomonee Falls, WI 53051
Tel.: (414) 359-3400
Fax: (414) 973-6636
Web site: http://www.strong.com/
Contact: Clare Bergquist (414) 973-6685
Defined contribution assets: $6.3 billion
54% in 401(k) plans
Bundled clients: 284
Total participants: 112,942
Services: Plan design, trustee, legal and compliance, recordkeeping and admininistration.
Sunamerica Asset Management
733 Third Ave.
New York, NY 10990
Tel.: (212) 551-5317
Fax: (212) 551-5343
Web site: www.
sunamericafunds.com
Contact: Thomas Leboffe
Defined contribution
assets: $911 million
32% in 401(k) plans
Clients: 621
Bundled clients: 211
Total participants: 30,000
Services: Plan design, trustee, recordkeeping and administration, education, self-directed brokerage account/window, legislative support and information, Internet services, toll-free voice response system
Suntrust Bank Retirement Services Group
200 S. Orange Ave.
11th fl.
Orlando, FL 32801
Tel.: (866) 786-401K
Fax: (407) 237-6996
Web site: http://www.suntrust.com/
Contact: Gary Plourde (407) 237-6928
Defined contribution assets: $9.2 billion
61% in 401(k) plans
Clients: 2,005
Bundled clients: 1,705
Total participants: 160,089
Services: All, except manager searches
Transamerica Retirement Services
1150 S. Olive St.
Los Angeles, CA 90015
Tel.: (213) 742-5141
Fax: (213) 741-7742
Web site: http://www.ta-retirement.com/
Contact: Hristo Stefanov
Defined contribution
assets: $8.3 billion
Clients: 10,000
Total participants: 500,000
Services: All, except trustee
UMB Bank
1010 Grand Blvd
P.O. Box 412014
Kansas City, MO 64141
Tel.: (816) 860-4879
Fax: (816) 860-3743
Web site: http://www.umb.com/
Contact: Charles Lehman (816) 860-4889
Defined contribution assets: $12 billion
40% in 401(k) plans
Clients: 1,800
Bundled clients: 500
Total participants: 110,000
Services: All, except manager searches, participant investment advice
Union Bank of California
475 Sansome St., 12th fl.
San Francisco, CA 94111
Tel.: (415) 296-6715
Fax: (415) 291-7405
Web sites: http://www.uboc.com/;
http://www.selectbenefit.com/
Contact: Jeff Boyle
(415) 296-6527
Defined contribution
assets: $14.2 billion
58% in 401(k) plans
Clients: 1,750
Bundled clients: 715
Total participants: 256,000
Services: All, except
manager searches
U.S. Bank
225 S. Sixth St., 6th fl.
Minneapolis, MN 55402
Tel.: (612) 973-0467
Fax: (612) 973-2015
Web site: http://www.usbank.com/
Contact: Mathew Bohar
Defined contribution assets: $9.3 billion
70% in 401(k) plans
Clients: 2,665
Bundled clients: 1,915
Total participants: 281,000
Services: All, except manager searches
Vanguard Group
P.O. Box 2900
Valley Forge, PA 19482
Tel.: (800) 523-1036
Web site:
http://www.vanguard.com/
Contact: Gerard Mullane (610) 669-4024
Defined contribution
assets: $154.4 billion
84% in 401(k) plans
Clients: 2,813
Bundled clients: 1,395
Total participants: 2.5 million
Services: All, except manager searches
International:Vol. of defined contribution assets outside the U.S.:
$3.2 billion
Countries with established defined contribution clients/offices/products: Australia, Chile
Victory Capital Management
127 Public Sq.
Cleveland, OH 44114
Tel.: (216) 689-3000
Fax: (216) 689-0929
Web site: http://www.victoryconnect.com/
Contact: Timothy Connors (216) 689-5182; Thomas Brown (216) 689-0435
Defined contribution assets: $10.4 billion
86% in 401(k) plans
Clients: 1,435
Bundled clients: 1,148
Total participants: 329,000
Services: All, except manager searches
Wachovia Corp.
401 S. Tryon St., 14th fl.
Charlotte, NC 28288-1165
Tel.: (617) 210-3867
Fax: (617) 210-2717
Web site: www.
firstunion.com/401k
Contact: Laura Trumble
Defined contribution assets: $14.7 billion
75% in 401(k) plans
Clients: 1,485
Bundled clients: 1,260
Total participants: 441,949
Services: All, except manager searches
International:Vol. of defined contribution business outside the U.S.: $11.7 million
Countries with established defined contribution clients: Bermuda, Canada, Pakistan, Switzerland
Wells Fargo & Co.
420 Montgomery St.
San Francisco, CA 94163
Tel.: (415) 396-3695
Fax: (415) 981-9106
Web site:
http://www.wellsfargo.com/
Contact: Sean Thomas
Defined contribution assets: $17.7 billion
80% in 401(k) plans
Clients: 9,000
Bundled clients: 5,195
Total participants: 1.1 million
Services: All, except manager searches
2002 Defined Contributions consulting firms & plan administrators Directory
Administrative Management Group
3800 N. Wilke Rd
Ste 250
Arlington Heights, IL 60004
Tel.: (847) 577-6000
Fax: (847) 870-9200
Web site: http://www.amgusa.com/
Contact: Mark Tucker
ADP Retirement Services
1 ADP Blvd
Roseland, NJ 07068
Tel.: (973) 974-2080
Fax: (973) 974-3035
Web site: http://www.adp401k.com/
Contact: Ian Sheridan
Aon Consulting Worldwide
200 E. Randolph St.
Chicago, IL 60601
Tel.: (312) 381-5025
Fax: (312) 381-0255
Web site: http://www.aon.com/
Contact: Tom Ference
ARNERICH MASSENA & ASSOCIATES
2045 N.E. Martin Luther King Jr. Blvd
Portland, OR 97212
Tel.: (503) 239-0479
Fax: (503) 239-0369
Web site: www.
arnerichmassena.com
Contact: Scott Faris
(503) 239-0475
CITISTREET
3 Batterymarch Park
Quincy, MA 02169
Tel.: (617) 376-9100
Fax: (617) 376-9180
Web site: http://www.citistreetonline.com/
Contact: Sandy McCarthy
CRA ROGERSCASEY
1 Parklands Dr.
Darien, CT 06820
Tel.: (203) 656-5900
Fax: (203) 656-2235
Web site: www.crarogerscasey.com
Contact:
Stephen Wagenbach
(203) 656-5963
CURCIO WEBB
22 Battery St., Ste 610
San Francisco, CA 94111
Tel.: (415) 394-8440
Fax: (415) 394-8448
Web site: http://www.curciowebb.com/
Contact: Gordon Webb (415) 743-5684
DEAN & CO.
5646 Milton St., Ste 210
Dallas, TX 25206
Tel.: (214) 891-0990
Fax: (214) 722-0101
Web site: http://www.retsource.com/
Contact: Charles Dean
DEMARCHE ASSOCIATES
6320 Lamar Ave.
Overland Park, KS 66202
Tel.: (913) 384-4994
Fax: (913) 981-1383
Web site: http://www.demarche.com/
Contact: Kevin Harley
Ennis, Knupp + Associates
10 S. Riverside Plaza
Ste 700
Chicago, IL 60606
Tel.: (312) 715-1700
Fax: (312) 715-1952
Web site:
http://www.ennisknupp.com/
Contact: Harmony Smith
Fiduciary Advisors
4242 N. 19th Ave.
Ste 700
Phoenix, AZ 85015
Tel.: (602) 864-1012
Fax: (602) 864-1112
Web site: http://www.faltd.com/
Contact: David Ludwig
401(k) Co.
98 San Jacinto Blvd
Ste 1100
Austin, TX 78701
Tel.: (512) 344-3000
Fax: (512) 344-3134
Web site: www.the401kcompany.com
Contact: Tanya Uptegraph (512) 344-3955
Freedom One
Investment Advisors
5435 Corporate Dr.
Troy, MI 48098
Tel.: (248) 641-7525
Fax: (248) 641-7530
Web site: www.freedomonefinancial.com
Contact: Lesley Johnson
Hewitt Associates
100 Half Day Rd
Lincolnshire, IL 60069
Tel.: (847) 295-5000
Fax: (847) 883-9019
Web site: http://www.hewitt.com/
Contact: Tim Murphy
Highland Consulting Associates
25651 Detroit Rd
Cleveland, OH 44145
Tel.: (440) 899-1121
Fax: (440) 899-1138
Web site:
http://www.highlandusa.net/
Contact: Richard Veres
Key Financial Administrators
8330 Allison Pointe Trail
Indianapolis, IN 46250
Tel.: (317) 284-7723
Fax: (317) 284-7313
Web site: http://www.kfa401k.com/
MERCER HUMAN RESOURCE CONSULTING
1166 Ave. of the
Americas
New York, NY 10036
Tel.: (212) 345-7000
Web site:
http://www.mercerhr.com/
Milliman USA
1301 Fifth Ave., Ste 3800
Seattle, WA 98101
Tel.: (206) 624-7940
Fax: (206) 340-1380
Web site:
http://www.milliman.com/
Contact: Mark Trieb
(214) 863-5515
Nyhart Co.
9320 Priority Way W. Dr.
Indianapolis, IN 46240
Tel.: (317) 803-7700
Fax: (317) 803-7895
Web site: http://www.nyhartco.com/
Contact: Daryl Dean
(800) 428-7106
Pension Review Services
45 Executive Dr.
Plainview, NY 11803
Tel.: (516) 349-5500
Fax: (516) 349-0015
Contact: Sue Feller
Jeffrey Slocum & Associates
430 First Ave. N., Ste 720
Minneapolis, MN 55401
Tel.: (612) 338-7020
Fax: (612) 338-7034
Web site: http://www.jslocum.com/
Contact: Meggan O'Shea
Trustar Retirement Services
1013 Centre Rd
Wilmington, DE 19805
Tel.: (302) 995-2131
Fax: (302) 995-6013
Web site: http://www.trustar-rs.com/
Contact: Yaqub Ahmed (800) 824-7096 x375
By Erika Ihara
June 2002
Institutional Investor Magazine
A year ago the 401(k) industry fretted about the demise of the bull market and the decline in assets under management. They were right to worry: Assets dropped by $72 billion, to $1.77 trillion, in 2000 and then to $1.64 trillion in 2001. But ever since Enron Corp.'s collapse swallowed up more than $1 billion in 401(k) accounts, nervous plan providers have had something else to concern them: the fate of pension reform on Capitol Hill.
Members of Congress stepped forward with various proposals to "fix" the nation's 401(k) system so that employee retirement plans would be protected from the next Enron. Now - no surprise - 401(k) reform is stalled in a highly partisan Congress.
In April the GOP-controlled House of Representatives voted 255,163 to pass legislation that would allow 401(k) plan participants to sell company stock that their employers contributed as a match after three years. The bill also gives employees advance notice of blackout periods during which they are barred from making transactions, and it prohibits top executives from selling shares they hold outside the plan during a blackout. The House bill, which closely tracks the Bush administration's pension reform proposals, also makes it easier for employers to provide access to investment advice.
In the Democrat-controlled Senate, meanwhile, the Health, Education, Labor and Pensions Committee, chaired by Massachusetts Senator Edward Kennedy, approved a 401(k) reform bill - strongly opposed by the business lobby - by an 11,10 party-line vote. The legislation would create a separate "office of participant advocacy" within the U.S. Department of Labor where employees could register complaints.
The Senate Finance Committee has yet to produce a bill of its own, and pension reform advocates are pushing the group to produce legislation that looks more like the Kennedy bill than the House bill. "We'd rather have no bill than a bad bill, and the House bill is a bad bill," says Karen Friedman, director of policy strategies at the Pension Rights Center. Once the Finance Committee produces legislation, Senate Majority Leader Tom Daschle will have to cobble together pieces of both bills to put legislation to a vote before the full Senate.
Edward Ferrigno, vice president of Washington affairs at the Profit Sharing/401k Council of America, suggests that pension reform isn't proving to be the potent political issue that the Democrats had hoped it would be in the coming midterm congressional elections. Says Ferrigno, "It just doesn't have the political juice they thought it would have." Still, it's something for plan providers to think about.
The directory was compiled by Assistant Editor Erika Ihara.
2002 Defined Contributions Directory
Aegon Institutional Markets
400 W. Market
Louisville, KY 40202
Tel.: (502) 560-2016
Fax: (502) 560-4343
Web site: http://www.aegoninstitutional.com/
Contact: Aruna Hobbs
Defined contribution assets: $33.1 billion
Services: Asset management
AIM Management Group
11 Greenway Plaza
Ste 100
Houston, TX 77046
Tel.: (713) 347-1919
Fax: (713) 214-4830
Web site:
http://www.aimfunds.com/
Contact: John Cooper
(713) 214-7647
Defined contribution assets: $11 billion
93% in 401(k) plans
Bundled clients: 7
Services: Trustee, recordkeeping and administration, education, participant investment advice, self-directed brokerage account/window, legislative support and information, Internet services, toll-free voice response system
Fred Alger Management
111 Fifth Ave.
New York, NY 10003
Tel.: (212) 806-8800
Fax: (212) 806-2942
Web site: http://www.fredalger.com/
Contact: Lenore Thornton
(212) 806-2960
Defined contribution assets: $2.1 billion 72% in 401(k) plans
Services: Education, Internet services, toll-free voice response system
American Express Retirement Services
200 AXP Financial Ctr
Minneapolis, MN 55474
Tel.: (612) 671-3131
Fax: (612) 547-2781
Web site:
www.americanexpress.com/retirement
Contact: Chris Matzke
(612) 671-1637
Defined contribution assets: $55 billion 75% in 401(k) plans
Clients: 485
Bundled clients: 385
Total participants:
1.1 million
Services: All,* except
manager searches
American United Life
Insurance Co.
1 American Sq.
P.O. Box 368
Indianapolis, IN 46206
Tel.: (317) 285-1877
Fax: (317) 285-1956
Contact: Michael Grimme
(317) 285-1245
Defined contribution assets: $6.2 billion 62% in 401(k) plans (all bundled)
Total participants: 507,000
Services: Performance monitoring, plan design, trustee, legal and compliance, recordkeeping and administration, education, participant investment advice, foreign language communications, self-directed brokerage account/window, legislative support and information, Internet services, toll-free voice response system
Ameritas Life Insurance Corp.
5800 O St.
Lincoln, NE 68510
Tel.: (402) 467-1122
Fax: (402) 467-7952
Web site: http://www.ameritas.com/
Contact: Jessie Ellen Waller
(402) 467-7332
Defined contribution assets: $718 million 45% in 401(k) plans
Clients: 534 (all bundled)
Total participants: 45,218
Services: Performance monitoring, plan design, legal and compliance, recordkeeping and administration, education, self-directed brokerage/window, Internet services, toll-free voice response system
AMR Investment Services
4151 Amon Carter Blvd
MD 2450
Fort Worth, TX 76155
Tel.: (817) 967-3509
Fax: (817) 967-0768
Web site: http://www.aafunds.com/
Contact: Bart Roberson
(817) 967-3513
Defined contribution
assets: $4.6 billion
100% in 401(k) plans
Clients: 38
Services: Manager searches, performance monitoring, plan design, trustee, Internet Services, toll-free voice response system
Amsouth Bank
1901 Sixth Ave. N.
4th fl.
Birmingham, AL 35203
Tel.: (205) 801-0287
Fax: (205) 581-7390
Web site: http://www.amsouth.com/
Contact: Sherry Stephens
Defined contribution assets: $543 million
58% in 401(k) plans
Clients: 950
Bundled clients: 475
Total participants: 102,861
Services: Plan design, trustee, legal and compliance, recordkeeping and administration, education, foreign language communications, self-directed brokerage account/window, legislative support and information, Internet services, toll-free voice response system
Axa Financial/Equitable
1290 Ave. of the Americas
New York, NY 10104
Tel.: (201) 583-2391
Fax: (201) 583-2953
Web site: http://www.equitable.com/
Contact: Santo Loporto
Defined contribution
assets: $14.3 billion
41% in 401(k) plans
Clients: 45,893
Bundled clients: 15,258
Total participants: 702,774
Services: Performance monitoring, plan design, trustee, legal and compliance, recordkeeping and administration, education, participant
investment advice, self-directed brokerage account/window,
legislative support and information, Internet services, toll-free voice response system
Banc One Investment Management Group
1111 Polaris Pkwy, Ste F2
Columbus, OH 43217
Tel.: (317) 756-1390
Fax: (317) 592-5903
Web site: http://www.bankone.com/
Contact: Greg Weber
Defined contribution
assets: $8.7 billion
80% in 401(k) plans
Clients: 1,553
(all bundled)
Total participants: 239,350
Services: All, except
manager searches
Bank of New York Employee Investment Plans
1 Wall St.
New York, NY 10286
Tel.: (212) 635-7323
Fax: (212) 635-7141
Web site: http://www.bnyretire.com/
Contact: George Mazzella
Defined contribution
assets: $6.5 billion
88% in 401(k) plans
Clients: 583
Bundled clients: 547
Total participants: 40,000
Services: Plan design, trustee, legal and compliance, recordkeeping and administration, education, foreign language communications, self-directed brokerage account/window, legislative support and information, Internet services, toll-free voice response system
Barclays Global
Investors
45 Fremont St.
San Francisco, CA 94105
Tel.: (415) 597-2000
Fax: (415) 597-2010
Web site: http://www.barclaysglobal.com/
Contact: Matt Scanlan
(415) 597-2200
Defined contribution
assets: $110.6 billion
65% in 401(k) plans
Clients: 339
Total participants:
25 million
Services: Asset management, Internet services
Brown Brothers Harriman & Co.
40 Water St.
Boston, MA 02109
Tel.: (617) 772-1818
Fax: (617) 772-2350
Web site: http://www.bbh.com/
Defined contribution assets: $1 billion
65% in 401(k) plans
Clients: 100 (all bundled)
Services: Performance monitoring, plan design, trustee, legal and compliance, recordkeeping and administration, education, participant investment advice, foreign language communications, self-directed brokerage account/window, Internet services, toll-free voice response system
Calvert
4550 Montgomery Ave. Ste 1000N
Bethesda, MD 20814
Tel.: (301) 951-4800
Fax: (301) 654-7820
Web site: http://www.calvert.com/
Contacts: Blair Cahoon, Steve Himber
Defined contribution assets: $1.2 billion
18% in 401(k) plans
Services: Asset management
Capital Guardian Trust Co.
333 S. Hope St.
Los Angeles, CA 90071
Tel.: (213) 486-9049
Fax: (213) 486-9625
Web site: http://www.capgroup.com/
Contact: Kyle Colburn
Defined contribution
assets: $5.9 billion
80.3% in 401(k) plans
Clients: 63
Services: Asset management
Capital Research and Management Co.
333 S. Hope St.
Los Angeles, CA 90071
Tel.: (213) 486-2000
Fax: (213) 486-8511
Web site: http://www.americanfunds.com/
Contact: Drew Taylor (213) 486-9048
Defined contribution assets: $203.5 billion
12.7% in 401(k) plans
Services: Trustee, recordkeeping and administration, education, foreign language communications, self-directed brokerage account/window, Internet services, toll-free voice response system
Certus Asset Advisors
1 Bush St., Ste 450
San Francisco, CA 94104
Tel.: (415) 399-4450
Fax: (415) 399-4499
Web site: http://www.certusadvisors.com/
Contact: Megan Hart
(415) 399-4456
Defined contribution
assets: $8.5 billion
98% in 401(k) plans
Services: Performance monitoring, legal and compliance, education, legislative support and information, Internet services
Cigna Retirement & Investment Services
280 Trumbull St.
Hartford, CT 06103
Tel.: (860) 534-3734
Fax: (860) 534-2052
Web site: http://www.cigna.com/
Contact: Dean Houldcroft
Defined contribution assets: $30.3 billion
80% in 401(k) plans
Clients: 2,659 (all bundled)
Total participants:
1.1 million
Services: All
International:
Vol. of defined
contribution business outside the U.S.: $35 million
Countries with defined contribution clients/
offices: Brazil, Japan
CNA
CNA Plaza
35th fl.
Chicago, IL 60685
Tel.: (312) 822-7396
Fax: (312) 822-6876
Web site: http://www.cna.com/
Contact: Ralph Vuono Jr.
Defined contribution
assets: $1.4 billion
95% in 401(k) plans
Services: Asset management
Columbia Funds
1300 S.W. Sixth Ave.
Portland, OR 97201
Tel.: (503) 222-3600
Fax: (503) 973-6662
Web site: http://www.columbiafunds.com/
Contact: Robert Noack (503) 795-6335
Defined contribution assets: $2.1 billion
70% in 401(k) plans
Clients: 2,600
Bundled clients: 1,030
Total participants: 53,870
Services: Performance monitoring, plan design, trustee, legal and compliance,
recordkeeping and administration, education, participant investment advice, foreign language communications, legislative support and information, Internet services, toll-free voice response system
Columbia Management Group
590 Madison Ave., 36th fl.
New York, NY 10022
Tel.: (212) 893-7243
Fax: (212) 893-7191
Web site: www.fleet.com/retirement
Contact: Elliot Wislar
Defined contribution
assets: $34 billion 90% in 401(k) plans
Clients: 1,260
Bundled clients: 850
Total participants: 600,000
Services: All
Comerica Bank Retirement Services Department
411 W. Lafayette
Mail Code 3467
Detroit, MI 48226
Tel.: (313) 222-4155
Fax: (313) 222-6641
Web site: http://www.comerica.com/
Contact: Maurice Shane (313) 222-4638
Defined contribution assets: $3.2 billion
93% in 401(k) plans
Clients: 528
Bundled clients: 519
Total participants: 160,000
Services: Performance monitoring, plan design, trustee, legal and compliance, recordkeeping and administration, education, foreign language
communications, self-directed brokerage account/window, legislative support and information, Internet services, toll-free voice response system
Dean Investment Associates
2480 Kettering Tower
Dayton, OH 45423
Tel.: (937) 222-0282
Fax: (937) 227-9310
Web site: http://www.chdean.com/
Contact: Martin Flesher
Defined contribution assets: $216.5 million 5% in 401(k) plans
Clients: 193
Services: Performance monitoring, plan design, recordkeeping and administration, education, participant investment advice, legislative support and information, Internet services, toll-free voice response system
Delaware Investments/Retirement Financial Services
2005 Market St.
Philadelphia, PA 19103
Tel.: (215) 255-1511
Fax: (215) 255-1234
Web site: http://www.delawareinvestments.com/
Contact: John Ring
Defined contribution assets: $8 billion 89% in 401(k) plans
Clients: 13,167 (all bundled)
Services: All, except
manager searches
Denver Investment Advisors
1225 17th St., 26th fl.
Denver, CO 80202
Tel.: (303) 312-5000
Fax: (303) 312-4900
Web site: http://www.denveria.com/
Contact: Terri Baldwin (303) 312-5024
Defined contribution
assets: $5.7 million
100% in 401(k) plans
Clients: 4
Services: Asset management
Diversified Investment Advisors
4 Manhattanville Rd
Purchase, NY 10577
Tel.: (914) 697-8000
Fax: (914) 697-3617
Web site: http://www.divinvest.com/
Contact: Laura White (914) 697-8680
Defined contribution assets: $27 billion 65% in 401(k) plans
Clients: 2,400
Bundled clients: 2,300
Total participants: 1 million
Services: All
Dresdner RCM Global Investors
4 Embarcadero Ctr
Ste 2900
San Francisco, CA 94111
Tel.: (415) 954-5400
Fax: (415) 954-8200
Web site: http://www.dresdnerrcm.com/
Contact: Dawn Vroegop
(415) 954-5445
Defined contribution assets: $1.9 billion 47% in 401(k) plans
Clients: 23
Services: Asset
management
Dreyfus Founders Funds
2930 E. Third Ave.
Denver, CO 80206
Tel.: (303) 394-7883
Fax: (303) 394-7849
Web site: http://www.founders.com/
Contact: Angelo Barr
Defined contribution assets: $900 million 95% in 401(k) plans
Services: Asset
management
Eads & Heald Investment Counsel
2100 Riveredge Pkwy
Ste 760
Atlanta, GA 30328
Tel.: (770) 988-9556
Fax: (770) 988-9378
Web site: http://www.eadsheald.com/
Contact: Thomas Heald
Defined contribution
assets: $309.6 million
Services: Asset management
Federated Investors
1001 Liberty Ave.
Pittsburgh, PA 15317
Tel.: (412) 288-1900
Fax: (412) 288-2925
Web site: http://www.federatedinvestors.com/
Contact: James Heaton (412) 288-6588
Defined contribution
assets: $12.8 billion
Bundled clients: 144
Total participants: 77,661
Services: All
Fidelity Investors
82 Devonshire St.
Boston, MA 02472
Tel.: (508) 787-6889
Web site: http://www.fidelity.com/
Contacts: FESCo, FIRSCo: Joe Dattilo (508) 787-6889; FITSCo: Steve
Keating (508) 787-7207; FMTC: Richard Horlick (617) 392-8688; FIIS (617) 563-1764
Defined contribution assets: $332.4 billion
83% in 401(k) plans
Clients: 22,524
Bundled clients: 21,218
Total participants: 9.6 million
Services: Performance monitoring, plan design, trustee, legal and compliance, recordkeeping and administration, education, foreign language communications, self-directed brokerage account/window, legislative support and information, Internet services, toll-free voice response system
International: Vol. of defined contribution business outside the U.S.: $3.3 billion
Countries with established defined contribution clients/offices/products: Bermuda, Canada, Channel Islands, Hong Kong, Isle of Man, Japan, U.K.
Fiduciary Capital Management
51 Sherman Hill Rd
P.O. Box 449
Woodbury, CT 06798
Tel.: (203) 266-0440
Fax: (203) 266-4745
Web site: http://www.fcmstablevalue.com/
Contact: Peter Bowles
Defined contribution
assets: $1.1 billion
Clients: 28
Services: Manager searches, performance monitoring
Fifth Third Bank
38 Fountain Sq. Plaza
Cincinnati, OH 45263
Tel.: (513) 579-5300
Fax: (513) 534-8177
Web site: retire.53.com
Contact: Joe Kerrigan
(513) 579-5679
Defined contribution
assets: $6.6 billion
76% in 401(k) plans
Clients: 1,579
Bundled clients: 1,484
Total participants: 206,000
Services: All, except manager searches
First Mercantile Trust Co.
57 Germantown Court
4th fl.
Cordova, TN 38018
Tel.: (901) 753-9080
Fax: (901) 753-9863
Web site: http://www.firstmerc.com/
Contact: Ray Zittlow
(320) 240-0381
Defined contribution
assets: $18 billion
98% in 401(k) plans
Clients: 2,300
Bundled clients: 1,000
Total participants: 200,000
Services: All
Franklin Templeton Investments
1 Franklin Pkwy
San Mateo, CA 94403
Tel.: (650) 312-2000
Fax: (954) 527-2137
Web site: http://www.franklin-templeton.com/
Contact: Rick Frisbie (650) 312-3059
Defined contribution assets: $15.2 billion 83% in 401(k) plans
Services: Performance monitoring, plan design, trustee, legal and
compliance, recordkeeping and administration, education, foreign language communications, toll-free voice response system
Gabelli Asset Management
1 Corporate Ctr
Rye, NY 10580
Tel.: (914) 921-5000
Fax: (914) 921-5060
Web site: http://www.gabelli.com/
Contact: Douglas Jamieson (914) 921-5020
Defined contribution
assets: $2.4 billion
19% in 401(k) plans
Clients: 1,407
Bundled clients: 17
Total participants: 11,108
Services: All, except performance monitoring
Galliard Capital Management
800 LaSalle Ave.
Ste 2060
Minneapolis, MN 55402
Tel.: (612) 667-3210
Fax: (612) 667-3223
Web site: http://www.galliard.com/
Contact: Mike Norman (612) 667-3219
Defined contribution
assets: $7.6 billion
76% in 401(k) plans
Clients: 40
Services: Asset management
Gartmore Morley Financial Services
5665 S.W. Meadows Rd Ste 400
Lake Oswego, OR 97035
Tel.: (503) 620-7899
Fax: (503) 603-2290
Web site: http://www.gartmoremorley.com/
Contact: Simon Acheson (800) 548-4806
Defined contribution assets: $9 billion 75% in 401(k) plans
Clients: 5,000
Services: Trustee, education, Internet services, toll-free voice response system
GE Asset Management
201 Merritt 7
P.O. Box 4800
Norwalk, CT 06856-4800
Tel.: (203) 229-5325
Fax: (203) 229-5016
Web site: http://www.geassetmanagement.com/
Contact: Jack Boyce
Defined contribution assets: $7.2 billion
100% in 401(k) plans
Clients: 82
Bundled clients: 74
Total participants: 259,475
Services: All, except manager searches
Great-West Life Family of Cos.
850 E. Orchard Rd
Greenwood Village, CO 80111
Tel.: (303) 737-3000
Fax: (303) 334-3030
Web site: www.gwla.com/benefits
Contact: Robert McCallum
(303) 737-2024
Defined contribution assets: $42 billion
36% in 401(k) plans
Clients: 12,042
Bundled clients: 11,922
Total participants: 2.5 million
Services: All
Guardian Life Insurance Co.
of America
7 Hanover Sq., 19th fl.
New York, NY 10004
Tel.: (212) 598-1408
Fax: (212) 919-2934
Web site: http://www.guardianretirement.com/
Contact: Jennifer Putney
Defined contribution assets: $2.6 billion 95% in 401(k) plans
Clients: 6,200
Bundled clients; 5,900
Total participants: 200,000
Services: Performance monitoring, plan design, trustee, recordkeeping and administration, education, foreign language communications, self-directed brokerage account/window, Internet services, toll-free voice response system
The Hartford
200 Hopmeadow St.
Simsbury, CT 06089
Tel.: (860) 843-6046
Fax: (860) 843-5316
Web site: http://www.retire.hartfordlife.com/
Contact: Christine Chaia
Defined contribution assets: $15.9 billion
27% in 401(k) plans
Clients: 6,100
Bundled clients: 3,950
Total participants: 390,000
Services: All, except manager searches
HSBC Bank USA
1 HSBC Ctr
Buffalo, NY 14203
Tel.: (716) 841-2648
Fax: (716) 841-4244
Web site: http://www.401k.us.hsbc.com/
Defined contribution assets: $4.6 billion
58% in 401(k) plans
Clients: 490 (all bundled)
Total participants: 130,000
Services: All, except manager searches
ING
151 Farmington Ave.
Hartford, CT 06156
Tel.: (860) 273-3523
Fax: (860) 273-3940
Web site: http://www.ingretirementplans.com/
Contact: Frederick Swietek
Defined contribution
assets: $79 billion
49% in 401(k) plans
Clients: 34,106
Bundled clients: 33,207
Total participants:
2.3 million
Services: All
Institutional Capital Corp.
225 W. Wacker Dr.,
Ste 2400
Chicago, IL 60606
Tel.: (312) 424-9100
Fax: (312) 424-9187
Web site: http://www.icapfunds.com/
Contact: Gary Maurer
Defined contribution assets: $1.1 billion
100% in 401(k) plans
Clients: 32
Services: Asset management
Janus
100 Fillmore St., Ste 400
Denver, CO 80206
Tel.: (303) 333-3863
Fax: (303) 394-7697
Web site: http://www.janus.com/
Contact: Ken Paieski (800) 525-1068
Defined contribution assets: $39.7 billion
96% in 401(k) plans
Services: Asset management
King Investment Advisors
1980 Post Oak Blvd
Ste 2400
Houston, TX 77056-3898
Tel.: (713) 961-0462
Fax: (713) 961-5613
Web site: http://www.kingadvisors.com/
Contact: Roger King
Defined contribution
assets: $33.44 million
Clients: 5
Services: Performance monitoring, recordkeeping and administration
KR Capital Advisors
450 Park Ave.
New York, NY 10022
Tel.: (212) 888-6300
Fax: (212) 751-4542
Contact: Edward Klein
Defined contribution
assets: $421.2 million
100% in 401(k) plans
Clients: 1
Services: Asset management
Loomis, Sayles & Co.
1 Financial Ctr
Boston, MA 02111
Tel.: (617) 482-2450
Fax: (617) 443-0074
Web site: loomissayles.com
Contact: John Gallagher III
Defined contribution
assets: $2 billion
100% in 401(k) plans
Services: Asset management
Lord, Abbett & Co.
90 Hudson St.
Jersey City, NJ 07302
Tel.: (201) 395-2414
Fax: (201) 395-3414
Web site: http://www.lordabbett.com/
Contact: Daria Foster (201) 395-2808
Defined contribution assets: $2.5 billion
62% in 401(k) plans
Clients: 516
Bundled clients: 36,000
Services: Plan design, trustee, recordkeeping and administration, legislative support and information, Internet services, toll-free voice response system
Manning & Napier Advisors
1100 Chase Sq.
Rochester, NY 14604
Tel.: (716) 325-6880
Fax: (716) 325-5617
Web site: http://www.manningnapieradvisors.com/
Contact: Richard Barrington
Defined contribution assets: $1.1 billion
47% in 401(k) plans
Clients: 404
Bundled clients: 101
Services: Manager searches, performance monitoring, education, Internet services
Manulife Financial
73 Tremont St.
Boston, MA 02108
Tel.: (617) 854-4352
Fax: (617) 854-8787
Web site: http://www.manulife.com/
Contact: Kendall Kay
Defined contribution assets: $13.1 billion
90% in 401(k) plans
Clients: 19,351
Total participants: 853,357
Services: Recordkeeping and administration, foreign language communications, self-directed brokerage account/window, education, participant investment advice, Internet services, toll-free voice-response system
Marshall & Ilsley
Trust Co.
1000 N. Water St.
Milwaukee, WI 53202
Tel.: (414) 287-8600
Fax: (414) 287-7165
Web site: http://www.mitrust.com/
Contact: Tracy Straub (866) 418-9339
Defined contribution assets: $8 billion
64% in 401(k) plans
Clients: 940
Bundled clients: 842
Total participants: 320,000
Services: Plan design, trustee, legal and compliance, recordkeeping and administration, education, participant investment advice, foreign language communications, self-directed brokerage account/window, legislative support and information, Internet services, toll-free voice response system
MassMutual Financial Group
1295 State St.
Springfield, MA 01111
Tel.: (413) 744-4312
Fax: (413) 744-3201
Web site: www.massmutual.com/retire
Defined contribution assets: $23.5 billion
95% in 401(k) plans
Clients: 4,500 (all bundled)
Total participants: 575,000
Services: All
Mellon Capital Management
595 Market St., Ste 3000
San Francisco, CA 94105
Tel.: (415) 546-6056
Fax: (415) 975-2375
Web site: http://www.mcm.com/
Contact: Richard Foster
Defined contribution assets: $3.9 billion
100% in 401(k) plans
Clients: 34
Services: Asset management
Mellon HR Solutions
2100 N. Central Rd
Fort Lee, NJ 07024
Tel.: (201) 592-1300
Fax: (201) 592-9075
Web site: http://www.unifi.com/
Contact: Valerie Mammales
(201) 363-2836
Defined contribution assets: $33.9 billion
79% in 401(k) plans
Clients: 189 (all bundled)
Total participants: 1.2 million
Services: All, except manager searches
Merrill Lynch Investment Managers
800 Scudders Mill Rd
Plainsboro, NJ 08536
Fax: (609) 282-6090
Web site: http://www.mlim.ml.com/
Contact: George Antonak (401[k]) (609) 282-3609; Michael Brady (403[b] and 457) (617) 342-1619; Neal Howe
(consultant inquiries) (609) 282-2767
Defined contribution assets: $28.6 billion
98% in 401(k) plans
Services: Asset management
International: Vol. of defined contribution business outside the U.S.: $3.7 billion
Countries with established defined contribution clients/offices/products: U.K.
Retirement Group at Merrill Lynch
1400 Merrill Lynch Dr.
Pennington, NJ 08534
Tel.: (609) 274-9678
Fax: (609) 274-0454
Web site: www.benefits.ml.com/admin
Contact: John Rowe
Defined contribution assets: $144.2 billion
69% in 401(k) plans
Clients: 17,855
Bundled clients: 2,087
Total participants: 2.7 million
Services: All, except manager searches
Metlife
1 Madison Ave.
New York, NY 10010
Tel.: (212) 578-2211
Web site: http://www.metlife.com/
Contact: Gail Praslick (212) 578-3854
Defined contribution assets: $38.3 billion
77.2% in 401(k) plans
Clients: 19,910
Total participants: 2.7 million
Services: All, except manager searches
Vol. of defined contribution business outside the U.S.: $42.7 million
Countries with established defined contribution clients/products: Argentina, Mexico, Spain
MFS Investment Management
500 Boylston St.
Boston, MA 02116
Tel.: (617) 954-5000
Fax: (617) 954-6657
Web site: http://www.mfs.com/
Contact: John Campbell (617) 954-6824
Defined contribution
assets: $16.4 billion
100% in 401(k) plans
Clients: 8,211
Bundled clients: 759
Total participants: 513,839
Services: All, except manager searches
Miller/Howard Investments
324 Upper Byrdcliffe Rd
P.O. Box 549
Woodstock, NY 12498
Tel.: (845) 679-9166
Fax: (845) 679-5862
Web site: http://www.mhinvest.com/
Contact: Helen Hamada
Defined contribution assets: $66.1 million
100% in 401(k) plans
Clients: 1
Services: Asset management
J.P. Morgan/American Century Retirement Plan Services
4500 Main St.
Kansas City, MO 64111
Tel.: (816) 531-5575
Fax: (816) 340-7962
Web site: http://www.retireonline.com/
Contact: Melissa Hooker (816) 340-4843
Defined contribution assets: $43.4 billion
53% in 401(k) plans
Clients: 386
Bundled clients: 173
Total participants: 524,836
Services: All, except manager searches
Morgan Stanley Investment Management
1221 Ave. of the Americas
New York, NY 10020
Tel.: (212) 762-7400
Fax: (212) 762-7401
Web site: www.morganstanley.com/im
Contact: Ruth Hughes-Guden (212) 762-7381
Defined contribution assets: $13.2 billion
Services: Asset management
Munder Capital Management
480 Pierce St.
Birmingham, MI 48009
Tel.: (248) 647-9200
Fax: (248) 647-5931
Web site: http://www.munder401k.com/
Contact: Hilary Shulman, x1240
Defined contribution assets: $952 million
Services: Asset management
National City Retirement Plan Services
1900 E. 9th St.
Cleveland, OH 44114
Tel.: (216) 222-2446
Fax: (216) 222-2633
Web site: http://www.nationalcity.com/
Contact: Scott Kremer (216) 222-9695
Defined contribution assets: $6 billion
100% in 401(k) plans
Clients: 740 (all bundled)
Total participants: 150,000
Services: All
Nationwide Financial Services
One Nationwide Plaza
Columbus, OH 43215
Tel.: (614) 249-7111
Fax: (614) 249-7705
Web site: http://www.nationwide.com/
Contact: Molly Brinkman (614) 249-9944
Defined contribution assets: $23.7 billion
49% in 401(k) plans
Clients: 46,900
Bundled clients: 18,000
Total participants: 2.6 million
Services: Performance monitoring, plan design, trustee, recordkeeping and administration, education, participant investment advice, foreign language communications, self-directed brokerage account/window, Internet services, toll-free voice-response system
Neuberger Berman
605 Third Ave.
New York, NY 10158
Tel.: (212) 476-9000
Fax: (212) 476-8941
Web site: http://www.nb.com/
Contact: Brian Gaffney (212) 476-8923
Defined contribution assets: $3.7 billion
94% in 401(k) plans
Services: Asset management, trustee, education
New York Life Investment
Management
NYLIM Ctr
169 Lackawanna Ave.
Parsippany, NJ 07054
Tel.: (973) 394-3000
Web site: http://www.nylim.com/
Contact: Peter Rooney (973) 394-4302
Defined contribution assets: $17.8 billion
71% in 401(k) plans
Clients: 16,696
Bundled clients: 1,327
Total participants: 508,146
Services: All, except manager searches, foreign language
communications
NISA Investment
Advisors
150 N. Meramec Ave.
Ste 640
St. Louis, MO 63105
Tel.: (314) 721-1900
Fax: (314) 721-3041
Web site: http://www.nisanet.com/
Contact: Robert Krebs
Defined contribution assets: $1.8 billion
100% in 401(k) plans
Clients: 8
Services: Plan design
Ohio National Financial Services
1 Financial Way
Cincinnati, OH 45242
Tel.: (513) 794-6100
Fax: (513) 794-4704
Web site: http://www.ohionational.com/
Contact: Lee Putz
(513) 794-6627
Defined contribution assets: $1.5 billion
96% in 401(k) plans
Clients: 2,820
Bundled clients: 898
Total participants: 115,222
Services: Performance monitoring, plan design, legal and compliance, recordkeeping and dministration, education, Internet services, toll-free voice-response system
Oppenheimer Capital
1345 Ave. of the
Americas, 49th fl.
New York, NY 10105
Tel.: (212) 739-3000
Fax: (212) 739-3932
Web site: http://www.opcap.com/
Contact: Geoff Mullen (212) 739-3024
Defined contribution assets: $211.4 million
21% in 401(k) plans
Clients: 14
Services: Asset management
Pacific Life Insurance Co.
700 Newport Ctr Dr.
Newport Beach, CA 92660
Tel.: (949) 219-3011
Web site: http://www.pacificlife.com/
Contact: Richard Taube (949) 219-3106
Defined contribution assets: $5.1 billion
95% in 401(k) plans
Clients: 150
Services: Asset management
Pan-American Life Insurance Co.
601 Poydras St.
New Orleans, LA 70130
Tel.: (504) 566-1300
Fax: (504) 566-3813
Web site: http://www.wewill4u.com/
Contact: Rob Jennings (504) 566-3814
Defined contribution assets: $731.3 million
98% in 401(k) plans
Clients: 1,057
Bundled clients: 1,020
Total participants: 97,804
Services: All, except trustee, legal and compliance
PIMCO
840 Newport Ctr Dr.
Newport Beach, CA 92660
Tel.: (949) 720-6000
Fax: (949) 720-6332
Web site: http://www.pimco.com/
Contact: John Loftus (949) 720-6157
Defined contribution
assets: $25.2 billion
90% in 401(k) plans
Clients: 2,500
Services: Asset management, Internet services
Pioneer Investment Management
60 State St., Ste 1600
Boston, MA 02421
Tel.: (617) 742-7825
Fax: (617) 422-4277
Web site: http://www.pioneerfunds.com/
Contact: Steven Forss (800) 821-1239, x4710
Defined contribution assets: $1.9 billion
33.8% in 401(k) plans
Bundled clients: 1,291
Services: All, except manager searches
PNC Advisors
2 PNC Plaza
620 Liberty Ave.
Pittsburgh, PA 15222
Tel.: (732) 220-3357
Fax: (732) 220-3604
Web site: www.
retirementdirections.com
Contact: Dan Dunn
Defined contribution assets: $5.1 billion
90% in 401(k) plans
Clients: 863
Bundled clients: 618
Participants: 193,000
Services: All, except manager searches and participant investment advice
T. Rowe Price
100 E. Pratt St.
Baltimore, MD 21202
Tel.: (410) 345-2000
Fax: (410) 345-5873
Web site: http://www.rps.troweprice.com/
Contact: Heidi Walsh (410) 345-7783
Defined contribution assets: $64 billion
63% in 401(k) plans
Clients: 1,616
Bundled clients: 15
Total participants: 1.2 million
Services: All, except manager searches
Principal Financial Group
P.O. Box 9397
Des Moines, IA 50306
Tel.: (515) 235-9494
Fax: (515) 248-2118
Web site: http://www.principal.com/
Contact: Brian Turnis
Defined contribution assets: $51.8 billion
79% in 401(k) plans
Clients: 40,526
Bundled clients: 37,817
Total participants: 2.2 million
Services: All, except manager searches
Prudential Financial
3 Gateway Ctr, 12th fl.
Newark, NJ 07102
Tel.: (973) 367-1652
Fax: (973) 367-8080
Web site:
http://www.prudential.com/
Contact: Paul Swanson (800) 953-2847
Defined contribution
assets: $34.5 billion
71% in 401(k) plans
Clients: 894
Bundled clients: 870
Services: All
Putnam Investments
1 Post Office Sq.
Boston, MA 02109
Tel.: (617) 292-1000
Fax: (617) 760-8062
Web site: http://www.putnam.com/
Contact: Frank Porcelli (617) 760-1425
Defined contribution assets: $62.4 billion
94% in 401(k) plans
Clients: 4,824
Bundled clients: 2,140
Total participants: 1.7 million
Services: All, except manager searches
RS Investments
388 Market St.
Ste 1700
San Francisco, CA 94111
Tel.: (415) 591-2700
Fax: (415) 591-2855
Web site: http://www.rsinvestments.com/
Contact: David Elliott (415) 591-2732
Defined contribution assets: $900 million
80% in 401(k) plans
Clients: 104
Services: Asset management
Safeco Life and Investments
5069 154th Place N.E.
Redmond, WA 98052
Tel.: (800) 472-3326
Fax: (425) 376-5272
Web site: http://www.safeco.com/
Contact: Bob Follette (425) 376-5485
Defined contribution assets: $2.8 billion
15% in 401(k) plans
Clients: 10,900
Bundled clients: 10,150
Total participants: 95,000
Services: All, except manager searches, performance monitoring, trustee, participant investment advice
Charles Schwab
Corporate Services
4150 Kinross Lakes Pkwy
P.O. Box 5050
Richfield, OH 44286-5050
Tel.: (330) 908-4000
Web sites: http://www.schwabplan.com/ and http://www.schwab.com/
Contact: James Canode (877) 456-0777
Defined contribution assets: $31.5 billion
75% in 401(k) plans
Clients: 2,097
Bundled clients: 630
Total participants: 330,000
Services: All, except manager searches
Scudder Investments
2 International Place
Boston, MA 02110
Tel.: (617) 295-3802
Fax: (617) 443-7051
Web site: http://www.university.scudder.com/
Contact: Ron Cohen
(617) 295-3802
Defined contribution assets: $14.5 billion
65% in 401(k) plans
Clients: 18,039 (all bundled)
Total participants: 693,842
Services: All
Securian Retirement Services
(A business unit of Minnesota Life)
400 Robert St. N.
St. Paul, MN 55101-2098
Tel.: (651) 665-3500
Fax: (651) 665-5133
Web site: http://www.securian.com/
Contact: Terri McNamara (651) 665-4701
Defined contribution assets: $5.6 billion
55% in 401(k) plans
Clients: 2,800 (all bundled)
Total participants: 185,000
Services: All, except manager services
SEI Investments
1 Freedom Valley Dr.
Oaks, PA 19456-1100
Tel.: (610) 676-1000
Fax: (484) 676-1390
Web site: http://www.seic.com/
Contact: Alison Saunders (610) 676-1689
Defined contribution assets: $22 billion
70% in 401(k) plans
Services: All
International:
Vol. of defined contribution assets
outside the U.S.: $84.5 million
Countries with established defined contribution offices/products: Canada, Mexico, South Africa, U.K.
Seligman Advisors
100 Park Ave.
New York, NY 10017
Tel.: (212) 850-1800
Fax: (212) 922-5740
Web site: http://www.seligman.com/
Contact: Michele Rappa (212) 850-1412
Defined contribution
assets: $906 million
59% in 401(k) plans
Clients: 3,000
Bundled clients: 1,350
Services: Plan design, trustee, legal and
compliance, recordkeeping and administration, education, foreign language communications, legislative support and information, Internet services, toll-free voice response system
State Street Research & Management Co.
1 Financial Ctr, 30th fl.
Boston, MA 02111
Tel.: (617) 357-1200
Fax: (617) 951-9919
Web site: http://www.ssrinternational.com/
Contact:Christopher Abbott
Defined contribution assets: $5.4 billion
11% in 401(k) plans
Clients: 1,431 (all bundled)
Services: Asset management
Strong Retirement Plan Services
100 Heritage Reserve
Menomonee Falls, WI 53051
Tel.: (414) 359-3400
Fax: (414) 973-6636
Web site: http://www.strong.com/
Contact: Clare Bergquist (414) 973-6685
Defined contribution assets: $6.3 billion
54% in 401(k) plans
Bundled clients: 284
Total participants: 112,942
Services: Plan design, trustee, legal and compliance, recordkeeping and admininistration.
Sunamerica Asset Management
733 Third Ave.
New York, NY 10990
Tel.: (212) 551-5317
Fax: (212) 551-5343
Web site: www.
sunamericafunds.com
Contact: Thomas Leboffe
Defined contribution
assets: $911 million
32% in 401(k) plans
Clients: 621
Bundled clients: 211
Total participants: 30,000
Services: Plan design, trustee, recordkeeping and administration, education, self-directed brokerage account/window, legislative support and information, Internet services, toll-free voice response system
Suntrust Bank Retirement Services Group
200 S. Orange Ave.
11th fl.
Orlando, FL 32801
Tel.: (866) 786-401K
Fax: (407) 237-6996
Web site: http://www.suntrust.com/
Contact: Gary Plourde (407) 237-6928
Defined contribution assets: $9.2 billion
61% in 401(k) plans
Clients: 2,005
Bundled clients: 1,705
Total participants: 160,089
Services: All, except manager searches
Transamerica Retirement Services
1150 S. Olive St.
Los Angeles, CA 90015
Tel.: (213) 742-5141
Fax: (213) 741-7742
Web site: http://www.ta-retirement.com/
Contact: Hristo Stefanov
Defined contribution
assets: $8.3 billion
Clients: 10,000
Total participants: 500,000
Services: All, except trustee
UMB Bank
1010 Grand Blvd
P.O. Box 412014
Kansas City, MO 64141
Tel.: (816) 860-4879
Fax: (816) 860-3743
Web site: http://www.umb.com/
Contact: Charles Lehman (816) 860-4889
Defined contribution assets: $12 billion
40% in 401(k) plans
Clients: 1,800
Bundled clients: 500
Total participants: 110,000
Services: All, except manager searches, participant investment advice
Union Bank of California
475 Sansome St., 12th fl.
San Francisco, CA 94111
Tel.: (415) 296-6715
Fax: (415) 291-7405
Web sites: http://www.uboc.com/;
http://www.selectbenefit.com/
Contact: Jeff Boyle
(415) 296-6527
Defined contribution
assets: $14.2 billion
58% in 401(k) plans
Clients: 1,750
Bundled clients: 715
Total participants: 256,000
Services: All, except
manager searches
U.S. Bank
225 S. Sixth St., 6th fl.
Minneapolis, MN 55402
Tel.: (612) 973-0467
Fax: (612) 973-2015
Web site: http://www.usbank.com/
Contact: Mathew Bohar
Defined contribution assets: $9.3 billion
70% in 401(k) plans
Clients: 2,665
Bundled clients: 1,915
Total participants: 281,000
Services: All, except manager searches
Vanguard Group
P.O. Box 2900
Valley Forge, PA 19482
Tel.: (800) 523-1036
Web site:
http://www.vanguard.com/
Contact: Gerard Mullane (610) 669-4024
Defined contribution
assets: $154.4 billion
84% in 401(k) plans
Clients: 2,813
Bundled clients: 1,395
Total participants: 2.5 million
Services: All, except manager searches
International:Vol. of defined contribution assets outside the U.S.:
$3.2 billion
Countries with established defined contribution clients/offices/products: Australia, Chile
Victory Capital Management
127 Public Sq.
Cleveland, OH 44114
Tel.: (216) 689-3000
Fax: (216) 689-0929
Web site: http://www.victoryconnect.com/
Contact: Timothy Connors (216) 689-5182; Thomas Brown (216) 689-0435
Defined contribution assets: $10.4 billion
86% in 401(k) plans
Clients: 1,435
Bundled clients: 1,148
Total participants: 329,000
Services: All, except manager searches
Wachovia Corp.
401 S. Tryon St., 14th fl.
Charlotte, NC 28288-1165
Tel.: (617) 210-3867
Fax: (617) 210-2717
Web site: www.
firstunion.com/401k
Contact: Laura Trumble
Defined contribution assets: $14.7 billion
75% in 401(k) plans
Clients: 1,485
Bundled clients: 1,260
Total participants: 441,949
Services: All, except manager searches
International:Vol. of defined contribution business outside the U.S.: $11.7 million
Countries with established defined contribution clients: Bermuda, Canada, Pakistan, Switzerland
Wells Fargo & Co.
420 Montgomery St.
San Francisco, CA 94163
Tel.: (415) 396-3695
Fax: (415) 981-9106
Web site:
http://www.wellsfargo.com/
Contact: Sean Thomas
Defined contribution assets: $17.7 billion
80% in 401(k) plans
Clients: 9,000
Bundled clients: 5,195
Total participants: 1.1 million
Services: All, except manager searches
2002 Defined Contributions consulting firms & plan administrators Directory
Administrative Management Group
3800 N. Wilke Rd
Ste 250
Arlington Heights, IL 60004
Tel.: (847) 577-6000
Fax: (847) 870-9200
Web site: http://www.amgusa.com/
Contact: Mark Tucker
ADP Retirement Services
1 ADP Blvd
Roseland, NJ 07068
Tel.: (973) 974-2080
Fax: (973) 974-3035
Web site: http://www.adp401k.com/
Contact: Ian Sheridan
Aon Consulting Worldwide
200 E. Randolph St.
Chicago, IL 60601
Tel.: (312) 381-5025
Fax: (312) 381-0255
Web site: http://www.aon.com/
Contact: Tom Ference
ARNERICH MASSENA & ASSOCIATES
2045 N.E. Martin Luther King Jr. Blvd
Portland, OR 97212
Tel.: (503) 239-0479
Fax: (503) 239-0369
Web site: www.
arnerichmassena.com
Contact: Scott Faris
(503) 239-0475
CITISTREET
3 Batterymarch Park
Quincy, MA 02169
Tel.: (617) 376-9100
Fax: (617) 376-9180
Web site: http://www.citistreetonline.com/
Contact: Sandy McCarthy
CRA ROGERSCASEY
1 Parklands Dr.
Darien, CT 06820
Tel.: (203) 656-5900
Fax: (203) 656-2235
Web site: www.crarogerscasey.com
Contact:
Stephen Wagenbach
(203) 656-5963
CURCIO WEBB
22 Battery St., Ste 610
San Francisco, CA 94111
Tel.: (415) 394-8440
Fax: (415) 394-8448
Web site: http://www.curciowebb.com/
Contact: Gordon Webb (415) 743-5684
DEAN & CO.
5646 Milton St., Ste 210
Dallas, TX 25206
Tel.: (214) 891-0990
Fax: (214) 722-0101
Web site: http://www.retsource.com/
Contact: Charles Dean
DEMARCHE ASSOCIATES
6320 Lamar Ave.
Overland Park, KS 66202
Tel.: (913) 384-4994
Fax: (913) 981-1383
Web site: http://www.demarche.com/
Contact: Kevin Harley
Ennis, Knupp + Associates
10 S. Riverside Plaza
Ste 700
Chicago, IL 60606
Tel.: (312) 715-1700
Fax: (312) 715-1952
Web site:
http://www.ennisknupp.com/
Contact: Harmony Smith
Fiduciary Advisors
4242 N. 19th Ave.
Ste 700
Phoenix, AZ 85015
Tel.: (602) 864-1012
Fax: (602) 864-1112
Web site: http://www.faltd.com/
Contact: David Ludwig
401(k) Co.
98 San Jacinto Blvd
Ste 1100
Austin, TX 78701
Tel.: (512) 344-3000
Fax: (512) 344-3134
Web site: www.the401kcompany.com
Contact: Tanya Uptegraph (512) 344-3955
Freedom One
Investment Advisors
5435 Corporate Dr.
Troy, MI 48098
Tel.: (248) 641-7525
Fax: (248) 641-7530
Web site: www.freedomonefinancial.com
Contact: Lesley Johnson
Hewitt Associates
100 Half Day Rd
Lincolnshire, IL 60069
Tel.: (847) 295-5000
Fax: (847) 883-9019
Web site: http://www.hewitt.com/
Contact: Tim Murphy
Highland Consulting Associates
25651 Detroit Rd
Cleveland, OH 44145
Tel.: (440) 899-1121
Fax: (440) 899-1138
Web site:
http://www.highlandusa.net/
Contact: Richard Veres
Key Financial Administrators
8330 Allison Pointe Trail
Indianapolis, IN 46250
Tel.: (317) 284-7723
Fax: (317) 284-7313
Web site: http://www.kfa401k.com/
MERCER HUMAN RESOURCE CONSULTING
1166 Ave. of the
Americas
New York, NY 10036
Tel.: (212) 345-7000
Web site:
http://www.mercerhr.com/
Milliman USA
1301 Fifth Ave., Ste 3800
Seattle, WA 98101
Tel.: (206) 624-7940
Fax: (206) 340-1380
Web site:
http://www.milliman.com/
Contact: Mark Trieb
(214) 863-5515
Nyhart Co.
9320 Priority Way W. Dr.
Indianapolis, IN 46240
Tel.: (317) 803-7700
Fax: (317) 803-7895
Web site: http://www.nyhartco.com/
Contact: Daryl Dean
(800) 428-7106
Pension Review Services
45 Executive Dr.
Plainview, NY 11803
Tel.: (516) 349-5500
Fax: (516) 349-0015
Contact: Sue Feller
Jeffrey Slocum & Associates
430 First Ave. N., Ste 720
Minneapolis, MN 55401
Tel.: (612) 338-7020
Fax: (612) 338-7034
Web site: http://www.jslocum.com/
Contact: Meggan O'Shea
Trustar Retirement Services
1013 Centre Rd
Wilmington, DE 19805
Tel.: (302) 995-2131
Fax: (302) 995-6013
Web site: http://www.trustar-rs.com/
Contact: Yaqub Ahmed (800) 824-7096 x375