With the variety of retirement plan solutions providers in the marketplace today, Plan Advisors need to partner with the right companies that understand their business and provide the right products to match the individual needs of each plan sponsor.  Below is a listing of retirement solutions providers with a demonstrated focus and clear dedication to the DC advisor sold market.  Each profile provides comprehensive provider information, direct contacts and is updated regularly.

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ADP Retirement Services administers defined contribution plans for small-, mid- and large-sized companies which equates to more than 25,000 retirement clients.  We meet the changing needs of plan sponsors and support our financial advisor partners through our 750 dedicated employees who specialize in establishing and servicing your clients’ plans.¹

Automatic Data Processing, Inc. is one of only a handful of U.S. companies rated AAA by Standard & Poor’s and Moody’s.²

¹Source: ADP Retirement Services, June 2009.
²Source: Automatic Data Processing, Inc. May 2009.

Alliance Benefit Group, LLC is a national network of independently owned employee benefits consulting and administration firms offering state of the art employee benefits services designed to meet our client’s specific needs.

Using the latest technology, coupled with the highest level of service and integrity, our experienced consulting and administration teams can design and administer a customized benefits solution for you and your employees.

We offer only the very best employee benefit services and programs in a variety of areas including:  Retirement Plan Services; Employer Participant Investment Consulting; Participant Education; Health and Welfare Consulting; Health Savings Accounts; Section 125 Plan Services; Payroll Services; and Employee Benefits Portal.

Ascensus understands that retirement plan sales are all about relationships: your relationship with your clients, our relationship with you. With approximately 27,000 defined contribution plans and a staff of more than 1,000 highly-trained professionals, we are committed to providing solutions to build and maintain these relationships throughout the life of a plan. With capabilities that extend beyond our core administrative and recordkeeping strengths, you are choosing a partner with over 30 years in the business and an appreciation of each client’s unique plan needs.

American United Life Insurance Company® (AUL) is the founding member of OneAmerica® and offers a wide range of products and services for retirement plans of individuals and employers. As a leader in the retirement services industry, AUL provides local service through a national network of experienced professionals focusing on the 401(k), 403(b) and 457 markets.

Benefit Plan Administrative Services (BPAS) was founded in 1973 based in Central New York. The first twenty three years of their operation was focused on providing balance-forward administration to pension and profit sharing plans. BPAS entered the daily valuation business in 1996, the same year they were acquired by Community Bank System, Inc. (NYSE: CBU). This corporate structure opened up new possibilities for their firm. It provided a national trust charter and membership in the National Securities Clearing Corporation through sister company CBNA – two critical ingredients to offering a true bundled solution to BPA clients. It also allowed them to change their focus from direct selling plans within the Bank’s footprint area to taking thier services nationally in partnership with financial intermediaries.

Since 1972 CPI Qualified Plan Consultants, Inc. has provided recordkeeping and administration services to qualified and non-qualified defined contribution retirement plans. With corporate headquarters in Great Bend, Kansas, CPI has 18 offices located throughout the United States. CPI currently partners with the nation’s most prominent investment institutions and mutual fund companies to provide services to more than 3,700 retirement plan clients and their investment professionals. For more information about CPI, www.cpiqpc.com or call 800-279-9916, extension 765. CPI is a wholly owned subsidiary of CUNA Mutual Group, a leading insurance and financial services organization.

DailyAccess Corporation is committed to delivering cost-effective, efficient, and sophisticated services for the retirement plan and employee benefits markets in multiple industries nationwide. Our Diamond Strategy services can be building blocks you offer your clients to enhance the overall retirement plan solutions you provide. These services can be conformed to any business model, allowing you to provide comprehensive benefit solutions for your clients.

Our national sales team is comprised of a Business Development Director in each of nine regions with a corresponding Business Development Specialist in-house, and we have operations locations in Mobile, Dallas, Kansas City, and Detroit. From our onsite participant support center to our sales support team, DailyAccess provides attentive, personalized customer service.

Diversified Investment Advisors, Inc. is a national investment advisory firm specializing in retirement plans. The company’s expertise covers the entire spectrum of defined benefit and defined contribution plans, including: 401(k) and 403(b) (Traditional and Roth); 457; nonqualified deferred compensation; profit sharing; money purchase; cash balance and Taft-Hartley plans; and rollover and Roth IRA.

For over 50 years, Diversified has been providing comprehensive plan administration, investment and communication services for mid- to large-sized organizations, and has helped more than 1.5 million participants save and invest wisely for and throughout retirement.

DWS Investments manages $129 billion in retail and retirement assets in the United States and approximately $354 billion globally (as of 3/31/11). We are proud to be an organization providing innovative investment strategies, including alternative investments. Our focus, depth of resources and flexibility enable us to deliver a world class retirement plan platform to plan sponsors and financial advisors.  

ExpertPlan was founded as a technology innovator in the administration of retirement programs. With continued investment in operating efficiencies and client service, ExpertPlan is a leader in the defined contribution market, providing retirement services for thousands of companies and organizations with billions of dollars in retirement assets. Today, ExpertPlan is a trusted independent partner for retirement plan solutions and services. ExpertPlan's in-house recordkeeping system is fully-automated, easy-to-use, and flexible, enabling plan sponsors to provide successful retirement programs and help employees achieve their goals of building retirement wealth over time.

Fidelity Investments Institutional Services Company provides investment management services through investment professionals at financial institutions nationwide, including wirehouses, regional and independent broker/dealers, registered investment advisors, banks, trust companies and insurance companies. The company offers Fidelity Advisor Funds®, Variable Insurance Product (VIP) Portfolios, systematic investment plans, institutional money market funds and a comprehensive line of retirement products and services.

Founded in 1860, The Guardian Life Insurance Company of America is one of the oldest and largest mutual life insurance companies in the United States and is known for its stability and financial strength.  Since its founding, Guardian has been providing financial solutions to help individuals, families and business owners achieve financial security.

Guardian offers retirement solutions designed to provide the resources, support and efficiency needed by today’s plan sponsors. Guardian delivers competitively priced large-plan services to small and mid-size plans.  

Guardian retirement specialists are committed to working with financial professionals and their clients to help them achieve their retirement goals.  To learn more, please call the Guardian Retirement Sales Desk at 1-866-390-7268.

In the U.S., the ING family of companies offers a comprehensive array of financial services to retail and institutional clients. The Retirement Insurance and Investment Management businesses of ING U.S. reach over 22 million retail and institutional customers with a comprehensive array of financial products and services, including life insurance, retirement plans, mutual funds, managed accounts, alternative investments, institutional investment management, annuities, employee benefits and financial planning.

As a leading provider of financial products and services, both at the workplace and through an expansive distribution network of financial professionals, ING's goal is to help make it easier for Americans to grow and protect their savings across all major life stages and financial milestones.

Our more than 40 years of successfully designing and delivering retirement plan solutions, coupled with our commitment to making it easier for our customers to achieve their retirement objectives, has helped ING advance among the leaders in our industry as a top three retirement plan provider in terms of plans, participants and assets.*

More than 50,000 employers select ING as their retirement plan provider because ING delivers the solutions and services that matter most. We honor the trust and confidence of our customers by continuing to invest in, innovate and implement meaningful strategies that help drive positive outcomes."

* Pensions & Investments Ranking of Top DC Recordkeepers, April 2011

Partner with a company that has the global scale and product diversity necessary to understand your retirement plan needs. John Hancock brings you innovative solutions for specific plan sponsor and fiduciary requirements, a breadth of analytical tools to help project retirement savings outcomes, and industry recognized award-winning marketing support.

Significant scale
John Hancock's parent, Manulife Financial, is among the largest life insurance companies in the world and has been helping individuals and institutions increase and protect wealth since 1862.

One source for solutions across the investment spectrum
We offer an extensive lineup of equity, income, international, sector and asset-allocation investment solutions. We take a disciplined, consultative team approach to portfolio management and research that focuses on finding solutions to help enhance and improve your investment offerings and leverages the expertise of leading institutional money managers. And we bring it all to you through a single, streamlined relationship.

Dedicated to you
At John Hancock, we are dedicated to helping you assist your participants in achieving a comfortable retirement. John Hancock is a premier provider of investment solutions and we have the resources to meet - and exceed - your clients' needs.

Lincoln Financial Group stands tall among 401(k) plan providers. They've earned the trust of scores of employers as they help their workers build secure financial futures. And they've earned the business of scores of financial professionals serving the retirement market. It’s easy to see why: They ’re committed to being your essential partner as you help your clients provide 401(k) solutions that are second to none. Contact the 401(k) sales desk at 877 533-9710.

The goal of M & I Institutional Trust Services is to make your job easier by giving you the support you need to win new clients and retain your existing client base.

M&I Institutional Trust Services’ experienced team of professionals is ready to ensure a smooth-running relationship backed by a high level of personal service.  With over 160 years of experience, M&I administers combined portfolios of over $90 billion and continues to be a recognized leader in the retirement plan services industry.

MassMutual’s Retirement Services Division has been serving retirement plans for more than 60 years. We offer a full range of products and services for corporate, union, nonprofit and governmental employers' defined benefit, defined contribution and nonqualified deferred compensation plans. We serve approximately 1.2 million participants.

Prudential has helped meet the retirement needs of individuals for more than 85 years.  Our experience and expertise with defined contribution and defined benefit plans coupled with our income product innovation, uniquely positions us to help you deliver tailored solutions to meet your clients needs.

As an industry leader, we can help you differentiate yourself and add value to your clients. Through our advanced solutions, your clients can effectively manage their responsibilities as plan sponsors and fiduciaries and help create better outcomes for their participants.

Whether your client is a corporation, partnership, multi-employer, non-profit, or a government organization, we give you the tools you need to consistently capture and retain more retirement plan business.

When it comes to achieving your clients' retirement goals, the quality of the company you recommend is especially important. Securian Retirement Distributors provides competitive retirement plan solutions backed by flexible, high quality services.  For nearly 130 years, Securian and its affiliates have honored their commitments - in good times and bad - supported by long-term management and investment strategies. This strength and dependability provides you with a clear, competitive advantage in the retirement marketplace.  We consistently maintain high ratings, excellent asset quality and capital strength and demonstrate our ability to provide long-term financial security for our customers every day.¹

¹Complete ratings and rankings information located at Securian.com/financials

As you build your retirement plan practice, you know how important experience can be. Your clients count on you for insightful plan designs, solid investment options, and service that’s grounded in proven processes.

With more than 70 years of experience in investment management and more than 27 years in the defined contribution market, we understand the challenges you face. We’ll help you build a stronger retirement plan practice by offering:

• A well-known, trusted brand
• Dedication to the DC market, with two-thirds of our assets being retirement related
• Solutions to help your clients manage their fiduciary responsibilities
• Solid investment performance based on a disciplined, long-term investment approach

For more information about T. Rowe Price and the services we provide, contact your T. Rowe Price regional retirement representative at 1-877-498-0621 or visit http://rps.troweprice.com/intermediaries.

The Hartford recognizes and champions the value that financial professionals bring to retirement plan sponsors and their participants. From our unmatched distribution and long-term relationships with the industry’s top firms, to our robust product and service offering, we provide top-down/bottom-up support of your goals to win, retain and grow your retirement business.

Backed by one of the largest investment and insurance companies based in the U.S. and a name that’s been trusted since 1810, our retirement plans expertise will position you – and your clients – for success. And we’ll make it easy, every step of the way.

The Retirement Advantage, Inc. (TRA) is a national provider of retirement plan administration and consulting services. The firm specializes in defined contribution and defined benefit retirement plans ranging from 401(k), 403(b), Cash Balance, Cross-Testing, Money Purchase, Profit Sharing, Roth 401(k) and Solo(k).

TRA is a privately held company delivering comprehensive plan administration and consulting services to over 3,500 retirement plans and their financial professionals.

For more information about TRA visit www.tra401k.com or call 888.872.2364.

The Standard has provided retirement plan services for more than 70 years. We offer 401(k), 403(b), profit sharing, money purchase, 457 governmental and defined benefit plan services on both a fully bundled or unbundled basis. We offer both an NAV and group annuity platform. 

As a complement to our distribution channel’s value proposition, The Standard can serve as both a 3(21) and 3(38) fiduciary for investment selection and monitoring. Only non-proprietary funds are used and all fund decisions are revenue neutral.

The Standard promotes a participant-focused approach, including Mainspring Managed, our comprehensive saving and investment plan solution for plan participants.

American Century Investments is a leading privately-held investment management firm, committed to delivering superior investment performance and building long-term client relationships since 1958. Serving investment professionals, institutions, corporations and individual investors, American Century Investments offers a variety of actively managed investment disciplines through an array of products including mutual funds, institutional separate accounts, commingled trusts and sub-advisory accounts. The company's 1,300 employees serve clients from offices in New York; London; Mountain View, Calif. and Kansas City, Mo. James E. Stowers Jr. founded the company and serves as co-chairman of the board. Jonathan S. Thomas is president and chief executive officer and Enrique Chang is chief investment officer. More than 40 percent of American Century Investments’ profits support research to help find cures for genetically-based diseases including cancer, diabetes and dementia.

Since our founding more than 20 years ago, BlackRock® has held true to two core principles. Most important, we put our investors’ interests first and at the heart of all that we do. Second, we strive to deliver the investment performance they expect through deep expertise in investment management, underpinned by the disciplined risk management across every portfolio. In recognition of these principals BlackRock has achieved the status of being the largest investment manager in the world.

The Columbia Management story began over 100 years ago. Today, we have grown into one of the nation’s largest dedicated asset managers, offering a comprehensive range of investment products managed by a dedicated group of investment professionals that share a passion for investing and a commitment to delivering a consistent investment experience. Our approach is distinguished by a singular focus on our partnership with you, the financial advisor. We take the time to understand your business and provide the thought leadership, investment insight and dependable solutions you need to help build successful relationships with your clients. Because at Columbia Management, we don’t consider ourselves successful unless you are.

Franklin Templeton’s DCIO Solutions works exclusively with retirement plan advisors but is not tied to a specific retirement plan service provider. We aim to support your business within whatever platform best suits your clients.

DCIO Solutions was created to help you successfully navigate the world of investment opportunities offered by Franklin Templeton. With over 110 mutual funds, of which 70 are available for retirement plan purchase, Franklin Templeton Investments offers a wide range of plan investment options for your defined contribution clients.

As a premier investment manager of defined benefit plans, Goldman Sachs Asset Management is well positioned to extend our best practices into the defined contribution marketplace. Our Goldman Sachs Retirement Services Team is dedicated to helping you enhance plan results and provide a sustainable retirement for participants through our portfolio construction expertise, investment solutions and wealth management resources.

Goldman Sachs Asset Management, the asset management arm of The Goldman Sachs Group, Inc., is among the world’s largest asset managers, with over $734.1billion in assets under management as of 9.30.09.

As part of this dedicated effort, we invite you to review our quarterly investment updates and insights. Please contact us at (800) 559-9778 or email us at Goldman Sachs Retirement Services with any questions or requests.

For over 140 years, MetLife has been one of the country’s most trusted financial institutions. We are well known for providing innovative stable value solutions supported by an unprecedented commitment to customers and the stable value industry. We have over a 35-year track record with $32 billion in stable value business.¹

Partnering with MetLife means working with the #1 Separate Account GIC and Traditional GIC issuer.² Our extensive experience, diversified book of business, flexibility and underwriting expertise make us the preferred stable value provider of many retirement plans and stable value intermediaries.

L0211158935[exp0412][All States][DC,GU,MP,PR,VI]
   
¹December 31, 2010.
²LIMRA Stable Value and Funding Agreement Products Report 2010 First and Second Quarter.

Experience, strategies, and resources
to support your retirement plan clients

MFS invented the mutual fund in 1924. America’s first fund, Massachusetts Investors Trust, made owning a diversified pool of stocks affordable for everyday investors. With its invention, more people could use the growth of America’s corporations to help fund their dreams of retirement and educating their children.

MFS’ Defined Contribution Investments team understands the critical needs to help your clients choose appropriate investments for their retirement plans.  With 85 years of experience helping investors and institutions pursue their financial goals, MFS is an investment management pioneer. At the same time, we understand retirement markets from top to bottom and realize that our success is largely because of advisors like you.

MFS is a premier global asset manager with investment offices in Boston, London, Mexico City, Singapore, Sydney, and Tokyo.  

OppenheimerFunds Retirement Services understands the challenges you face in the retirement plan marketplace and offers solutions to meet them. With our dedication to investment excellence, we bring the breadth and depth of high quality investments necessary for successful plans.

For more information about our retirement solutions, please contact your OppenheimerFunds Regional Retirement Representative at 1.800.734.5222.

Founded in 1868, Pacific Life provides life insurance products, annuities and mutual funds, and offers a variety of investment products and services to individuals, businesses, and pension plans. Pacific Life counts more than half of the 100 largest U.S. companies as clients and is a member of the Insurance Marketplace Standards Association (IMSA), whose membership promotes high ethical standards for the sale of individual life insurance and annuities.

Uncovering market inefficiency
through fundamental research.

Paradigm Funds give fee-based advisors and retirement professionals access to investment strategies that are otherwise a well-kept secret outside a small circle of institutional investment consultants.

Paradigm is a boutique investment manager specializing in small-cap, SMid-cap, and all-cap investing. The firm has served institutional investors since 1994, and now offers mutual funds and separately managed accounts to fee-based financial advisors and retirement professionals. Unlike many large fund complexes, Paradigm’s four- and five-star mutual funds offer significant capacity in constrained asset classes. The firm’s institutional background provides the discipline required for the style and market capitalization consistency essential for long-term asset allocation models.

Parnassus Investments is an independent and employee-owned investment management company based in San Francisco, CA. The firm seeks to invest in good businesses that have increasingly relevant products or services, sustainable competitive advantages, quality management teams and ethical business practices. We believe the most attractive opportunities for investments are when companies with good business fundamentals become temporarily undervalued. Our goal is to provide value to our shareholders by generating attractive risk-adjusted returns over the long-term. The firm manages five fundamental, domestic, core equity funds across multiple market capitalizations and one intermediate government/credit fixed-income fund. Founded in 1984, assets under management have grown to $5.8 billion (as of March 31, 2011).

Prudential Investments offers the expertise of Prudential Financial’s affiliated institutional managers to individuals and retirement plans in a wide range of mutual funds and separate accounts. With access to Prudential’s asset managers, investors in our funds benefit from the same processes, research, risk management, and performance demanded by many of today’s most sophisticated investors. Our success is rooted in a disciplined investment process that has proven itself over decades. It reflects a unique combination of experienced investment talent, intensive in-house research, and sophisticated risk management—all dedicated to delivering superior, long-term performance.

The RidgeWorth network is a collection of institutional asset management boutiques, each with a well-defined, proven approach and all with unwavering commitments to exceptional performance. Through our multiple, style-specific boutiques we offer a wide range of equity and fixed income investment disciplines in a package that makes the most sense for each client.

RidgeWorth and its boutiques have roots that extend back, in some cases, more than two decades. We primarily serve institutional investors — including for-profit and not-for-profit organizations — and institutional investment consultants and financial intermediaries.

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