Profiles of the largest 401(k) managers

1 Fidelity Investments

82 Devonshire St. Boston, MA 02109

(800) 343-3548

fidelity.com

(millions)

401(k) total$396,871

Total DC assets$502,943

Internally managed DC$474,450

Investment vehicle:

Mutual funds$410,929

ETFs$61

Separate accounts$14,348

Other commingled$49,112

Life cycle/asset allocation $78,256

Asset mix:

Stocks80%

Cash7%

Bonds4%

Stable value9%

Client contact: Steve Keating

2 State Street Global Advisors

1 Lincoln St., 33rd Floor

Boston, MA 02111

(617) 664-4738

Fax: (617) 664-2950

ssga.com

(millions)

401(k) total$172,221

Total DC assets$207,015

Internally managed DC$204,650

Investment vehicle:

Mutual funds$1,854

Separate accounts$121,752

Other commingled$81,044

Life cycle/asset allocation $19,024

Asset mix:

Stocks76%

Cash3%

Bonds4%

Stable value7%

Other10%

Client contact: Gary Conway

3 The Vanguard Group Inc.

P.O. Box 2600

Valley Forge, PA 19482

(800) 523-1036

Fax: (610) 669-0199

vanguard.com

(millions)

401(k) total$163,726

Total DC assets$281,593

Internally managed DC$183,018

Investment vehicle:

Mutual funds$139,256

Separate accounts$18,752

Other commingled$25,010

Life cycle/asset allocation $21,384

Asset mix:

Stocks64%

Cash7%

Bonds12%

Stable value17%

Client contact: Gerard P. Mullane

4 Capital Research and Management Co.

333 S. Hope St., 50th Floor Los Angeles, CA 90071

(213) 486-9000

Fax: (213) 486-9217

americanfunds.com

(millions)

401(k) total$105,895

Total DC assets$284,878

Internally managed DC$284,878

Investment vehicle:

Mutual funds$284,878

Client contact: Lorin Liesy

5 T. Rowe Price Associates Inc.

100 E. Pratt St. Baltimore, MD 21202

(410) 345-2000

Fax: (410) 345-3406

troweprice.com

(millions)

401(k) total$70,676

Total DC assets$107,166

Internally managed DC$107,166

Investment vehicle:

Mutual funds$69,347

Separate accounts$35,756

Other commingled$2,063

Life cycle/asset allocation $17,592

Asset mix:

Stocks68%

Cash2%

Bonds2%

Stable value12%

Other16%

Client contact: Keith Lewis

6 Prudential Financial Inc.

751 Broad St. Newark, NJ 07102

(973) 367-1345

Fax: (973) 802-6086

prudential.com

(millions)

401(k) total$45,337

Total DC assets$97,356

Internally managed DC$68,970

Investment vehicle:

Mutual funds$7,789

Separate accounts$23,008

Other commingled$38,173

Life cycle/asset allocation $2,869

Asset mix:

Stocks37%

Cash1%

Bonds21%

Stable value40%

Other1%

Client contact: David Castellani

7 Principal Global Investors

801 Grand Ave.

Des Moines, IA 50392

(800) 533-1390

Fax: (866) 850-4023

principalglobal.com

(millions)

401(k) total$43,089

Total DC assets$56,004

Internally managed DC$56,004

Investment vehicle:

Mutual funds$5,832

Separate accounts$1,587

Other commingled$48,585

Life cycle/asset allocation $6,586

Asset mix:

Stocks56%

Cash9%

Bonds8%

Stable value21%

Other6%

Client contact: Patrick Mc Nelis

8 Invesco

1360 Peachtree St., Suite 100 Atlanta, GA 30309

(404) 892-0896

Fax: (404) 439-4910

invesco.com

(millions)

401(k) total$39,245

Total DC assets$45,242

Internally managed DC$44,539

Investment vehicle:

Separate accounts$35,632

Other commingled$8,907

Asset mix:

Stocks9%

Bonds2%

Stable value89%

Client contact: Ruth Hughes-Guden

9 Northern Trust Global Investments

50 S. LaSalle St.

Chicago, IL 60603

(312) 630-6000

Fax: (312) 630-1488

northerntrust.com

(millions)

401(k) total$36,026

Total DC assets$39,926

Internally managed DC$36,726

Investment vehicle:

Mutual funds$24,036

Other commingled$12,690

Asset mix:

Stocks67%

Cash2%

Bonds26%

Stable value2%

Other3%

Client contact: Robert Gray

10 JPMorgan Asset Management

245 Park Ave. New York, NY 10167

(212) 483-2323

Fax: (212) 648-1510

jpmorgan.com/assetmanagement

(millions)

401(k) total$26,623

Total DC assets$27,105

Internally managed DC$27,105

Investment vehicle:

Mutual funds$6,392

Separate accounts$5,975

Other commingled$14,738

Life cycle/asset allocation $3,301

Asset mix:

Stocks33%

Cash4%

Bonds13%

Stable value44%

Other6%

Client contact: David Embry

11 Legg Mason Inc.

100 Light St., 34th Floor Baltimore, MD 21202

(410) 454-4042

Fax: (410) 454-4923

leggmason.com

(millions)

401(k) total$24,854

Total DC assets$32,543

Internally managed DC$32,543

Investment vehicle:

Mutual funds$18,591

Separate accounts$13,127

Other commingled$825

Asset mix:

Stocks64%

Bonds22%

Stable value14%

Client contact: Dave Gruber

12 Bank of New York Mellon Asset Management*

1 Boston Place Boston, MA 02108

(617) 722-7227

Fax: (617) 248-4600

bnymellon.com

(millions)

401(k) total$24,439

Total DC assets$35,435

Internally managed DC$34,772

Investment vehicle:

Mutual funds$13,812

Separate accounts$13,188

Other commingled$7,772

Life cycle/asset allocation $804

Asset mix:

Stocks25%

Cash31%

Bonds9%

Stable value33%

Other2%

Client contact: Robert Capone

13 BlackRock Inc.

40 E. 52nd St. New York, NY 10022

(212) 810-5560

Fax: (212) 935-1370

blackrock.com

(millions)

401(k) total$23,442

Total DC assets$24,861

Internally managed DC$24,861

Investment vehicle:

Separate accounts$24,861

Asset mix:

Stocks2%

Cash1%

Bonds16%

Stable value81%

Client contact: Douglas DuMond

14 Putnam Investments

One Post Office Square Boston, MA 02109

(617) 292-1000

Fax: (617) 760-8614

putnam.com

(millions)

401(k) total$22,594

Total DC assets$22,626

Internally managed DC$22,626

Investment vehicle:

Mutual funds$14,164

Other commingled$8,462

Life cycle/asset allocation $1,600

Asset mix:

Stocks56%

Cash4%

Bonds3%

Stable value27%

Other10%

Client contact: Chris Thompson

15 Barclays Global Investors NA

45 Fremont St., 34th Floor

San Francisco, CA 94105

(415) 597-2000

Fax: (415) 597-2140

barclaysglobal.com

(millions)

401(k) total$22,562

Total DC assets$188,006

Internally managed DC$188,006

Investment vehicle:

Mutual funds$4,135

Separate accounts$6,671

Other commingled$177,200

Life cycle/asset allocation $12,957

Asset mix:

Stocks88%

Cash1%

Bonds11%

Client contact: Kristi Mitchem

16 MassMutual Financial Group

1295 State St., B205 Springfield, MA 01111

(413) 744-1000

Fax: (413) 744-6144

massmutual.com

(millions)

401(k) total$22,127

Total DC assets$58,017

Internally managed DC$35,536

Investment vehicle:

Mutual funds$35,536

Life cycle/asset allocation $539

Asset mix:

Stocks88%

Cash3%

Bonds7%

Stable value1%

Other1%

Client contact: James Totovian

17 Dwight Asset Management Co.

100 Bank St., Suite 800 Burlington, VT 05401

(802) 862-4170

Fax: (802) 862-5097

dwight.com

(millions)

401(k) total$22,000

Total DC assets$36,200

Internally managed DC$25,200

Investment vehicle:

Mutual funds$273

Separate accounts$14,627

Other commingled$10,300

Asset mix:

Bonds42%

Stable value58%

Client contact: David Richardson

18 ING U.S. Financial Services

151 Farmington Ave., TNA1 Hartford, CT 06156

(860) 723-4646

Fax: (860) 723-3258

ingretirementplans.com

(millions)

401(k) total$20,852

Total DC assets$87,368

Internally managed DC$51,641

Investment vehicle:

Separate accounts$5,063

Other commingled$46,578

Life cycle/asset allocation $1,258

Asset mix:

Stocks45%

Bonds11%

Stable value44%

Client contact: Louis E. Bachetti

19 Harris Associates LP

2 N. LaSalle St., Suite 500 Chicago, IL 60602

(312) 621-0600

Fax: (312) 621-0233

harrisassoc.com

(millions)

401(k) total$14,656

Total DC assets$15,451

Internally managed DC$15,451

Investment vehicle:

Mutual funds$14,256

Separate accounts$1,195

Life cycle/asset allocation $7,689

Asset mix:

Stocks77%

Cash4%

Bonds19%

Client contact: Michael J. Neary

20 AllianceBernstein Institutional Inv Mgmt

1345 Sixth Ave. New York, NY 10105

(212) 969-1000

Fax: (212) 756-4558

alliancebernstein.com/institutional

(millions)

401(k) total$13,398

Total DC assets$16,238

Internally managed DC$16,238

Investment vehicle:

Mutual funds$7,529

Separate accounts$6,860

Other commingled$1,849

Life cycle/asset allocation $1,045

Asset mix:

Stocks80%

Cash1%

Bonds3%

Stable value10%

Other6%

Client contact: Joseph Healy

21 MFS Investment Management

500 Boylston St.

Boston, MA 02116

(617) 954-5000

Fax: (617) 954-6657

mfs.com

(millions)

401(k) total$13,313

Total DC assets$15,512

Internally managed DC$13,666

Investment vehicle:

Mutual funds$12,652

Separate accounts$64

Other commingled$950

Life cycle/asset allocation $3,771

Asset mix:

Stocks80%

Cash3%

Bonds17%

Client contact: Christopher Doucet

22 Galliard Capital Management Inc.

800 LaSalle Ave., Suite 2060

Minneapolis, MN 55402

(612) 667-3219

Fax: (612) 667-3223

galliard.com

(millions)

401(k) total$11,977

Total DC assets$17,106

Internally managed DC$15,671

Investment vehicle:

Separate accounts$4,559

Other commingled$11,112

Asset mix:

Stable value100%

Client contact: Mike Norman

23 Morgan Stanley

1585 Broadway

New York, NY 10036

(212) 761-4000

Fax: (212) 762-9136

morganstanley.com

(millions)

401(k) total$11,793

Total DC assets$24,141

Internally managed DC$24,141

Investment vehicle:

Mutual funds$20,887

Separate accounts$2,350

Other commingled$904

Life cycle/asset allocation $3,150

Asset mix:

Stocks92%

Bonds8%

Client contact: Tim Sweeney

24 GE Asset Management Inc.

3001 Summer St.

Stamford, CT 06905

(203) 326-2300

Fax: (203) 708-3109

geam.com

(millions)

401(k) total$11,585

Total DC assets$12,461

Internally managed DC$11,727

Investment vehicle:

Mutual funds$11,727

Life cycle/asset allocation $55

Asset mix:

Stocks58%

Cash11%

Bonds31%

Client contact: Jack Boyce

25 AIM Advisors Inc./Invesco

11 Greenway Plaza Suite 100

Houston, TX 77046

(800) 347-1919

Fax: (713) 214-1538

aiminvestments.com

(millions)

401(k) total$10,357

Total DC assets$11,365

Internally managed DC$11,365

Investment vehicle:

Mutual funds$11,365

Asset mix:

Stocks97%

Cash1%

Bonds2%

Client contact: Terry Kelly

26 Artisan Partners LP

875 E. Wisconsin Ave. Suite 800

Milwaukee, WI 53202

(414) 390-6100

Fax: (414) 390-6139

artisanfunds.com

(millions)

401(k) total$8,882

Total DC assets$8,882

Internally managed DC$8,882

Investment vehicle:

Mutual funds$8,500

Separate accounts$382

Asset mix:

Stocks100%

Client contact: Edward Mooney Jr.

27 Dimensional Fund Advisors Inc.

1299 Ocean Ave., 11th Floor

Santa Monica, CA 90401

(310) 395-8005

Fax: (310) 576-1181

dfafunds.com

(millions)

401(k) total$7,823

Total DC assets$8,137

Internally managed DC$8,137

Investment vehicle:

Mutual funds$8,137

Asset mix:

Stocks100%

Client contact: Patrick Carter

28 Davis Selected Advisers LP, dba Davis Advisers

2949 E. Elvira Road Suite 101

Tucson, AZ 85706

(800) 279-0279

Fax: (520) 434-3719

davisfunds.com

(millions)

401(k) total$7,566

Total DC assets$7,748

Internally managed DC$7,748

Investment vehicle:

Mutual funds$6,850

Separate accounts$898

Asset mix:

Stocks100%

29 Federated Investors Inc.

1001 Liberty Ave.

Pittsburgh, PA 15222

(800) 245-5000

Fax: (412) 288-1093

federatedinvestors.com

(millions)

401(k) total$7,073

Total DC assets$16,742

Internally managed DC$16,073

Investment vehicle:

Mutual funds$12,999

ETFs$5

Separate accounts$976

Other commingled$2,093

Life cycle/asset allocation $669

Asset mix:

Stocks22%

Cash10%

Bonds62%

Stable value6%

Client contact: James Heaton

30 Capital Guardian Trust Co.

333 S. Hope St. 51st Floor

Los Angeles, CA 90071

(213) 486-9200

Fax: (213) 486-9625

capgroup.com

(millions)

401(k) total$6,620

Total DC assets$8,216

Internally managed DC$8,216

Investment vehicle:

Separate accounts$2,586

Other commingled$5,630

Life cycle/asset allocation $2,061

Asset mix:

Stocks96%

Bonds4%

Client contact: Lianne Koeberle

31 American Century Investments

4500 Main St.

Kansas City, MO 64111

(866) 628-8826

Fax: (816) 340-7962

americancentury.com/institutional

(millions)

401(k) total$6,576

Total DC assets$22,815

Internally managed DC$22,815

Investment vehicle:

Mutual funds$20,582

Separate accounts$2,233

Life cycle/asset allocation $1,711

Asset mix:

Stocks84%

Cash6%

Bonds2%

Stable value8%

Client contact: Steve Levitt

32 Evergreen Investments

200 Berkeley St.

Boston, MA 02116

(617) 210-3200

Fax: (617) 210-3328

evergreeninvestments.com

(millions)

401(k) total$6,339

Total DC assets$7,914

Internally managed DC$7,914

Investment vehicle:

Mutual funds$5,001

Separate accounts$173

Other commingled$2,740

Life cycle/asset allocation $117

Asset mix:

Stocks43%

Cash7%

Bonds12%

Stable value38%

Client contact: Phillip Pounds

33 N.Y. Life Inv Mgmt Holdings LLC

51 Madison Ave.

New York, NY 10010

(973) 394-3000

Fax: (973) 394-4620

nylim.com

(millions)

401(k) total$5,610

Total DC assets$14,826

Internally managed DC$14,826

Investment vehicle:

Mutual funds$4,646

Separate accounts$10,180

Asset mix:

Stocks39%

Cash3%

Bonds23%

Stable value34%

Other1%

Client contact: Don Salama

34 Baron Capital Management Inc.

767 Fifth Ave. 49th Floor

New York, NY 10153

(212) 583-2000

Fax: (212) 583-2150

baronfunds.com

(millions)

401(k) total$5,405

Total DC assets$5,405

Internally managed DC$5,405

Investment vehicle:

Mutual funds$5,405

Asset mix:

Stocks100%

Client contact: Meeta Singal

35 Victory Capital Management Inc.

127 Public Square

Cleveland, OH 44114

(216) 689-4400; Fax: (216) 689-8315 victoryconnect.com

(millions)

401(k) total$5,297

Total DC assets$5,297

Internally managed DC$5,297

Investment vehicle:

Mutual funds$2,070

Other commingled$3,227

Life cycle/asset allocation $86

Asset mix:

Stocks69%

Cash9%

Bonds4%

Stable value16%

Other2%

Client contact: Christopher Ohmacht

36 Nationwide Financial

1 Nationwide Plaza

Columbus, OH 43215

(800) 626-3112

Fax: (614) 435-0051

nationwide.com

(millions)

401(k) total$4,833

Total DC assets$29,145

Internally managed DC$12,819

Investment vehicle:

Other commingled$12,819

Asset mix:

Bonds100%

Client contact: William S. Jackson

37 Delaware Investments

2005 Market St. 37th Floor

Philadelphia, PA 19103

(215) 255-2300

Fax: (215) 255-1196

delawareinvestments.com

(millions)

401(k) total$4,686

Total DC assets$4,770

Internally managed DC$4,770

Investment vehicle:

Mutual funds$97

Separate accounts$4,673

Asset mix:

Stocks41%

Bonds59%

Client contact: John C.E. Campbell

38 NISA Investment Advisors LLC

150 N. Meramec Ave. Sixth Floor

St. Louis, MO 63105

(314) 721-1900

Fax: (314) 721-3041

nisanet.com

(millions)

401(k) total$4,653

Total DC assets$5,770

Internally managed DC$5,770

Investment vehicle:

Separate accounts$5,770

Asset mix:

Bonds100%

Client contact: C. Robert Krebs

39 Trusco Capital Management Inc.

50 Hurt Plaza Suite 1400

Atlanta, GA 30303

(404) 581-1589

Fax: (404) 658-4092

truscocapital.com

(millions)

401(k) total$4,531

Total DC assets$5,236

Internally managed DC$5,236

Investment vehicle:

Mutual funds$4,531

Separate accounts$426

Other commingled$279

Life cycle/asset allocation $335

Asset mix:

Stocks56%

Cash6%

Bonds5%

Stable value16%

Other17%

Client contact: Gordon Boardway

40 Loomis Sayles & Co. LP

One Financial Center

Boston, MA 02111

(617) 482-2450

Fax: (617) 443-0074

loomissayles.com

(millions)

401(k) total$4,149

Total DC assets$4,149

Internally managed DC$4,149

Investment vehicle:

Mutual funds$1,700

Separate accounts$2,449

Asset mix:

Stocks14%

Bonds86%

Client contact: Christopher Perkin

401(k) totals do not include subadvised assets. Leaders in that business include The Hartford, John Hancock, ING, Great-West and Nationwide Financial.

Source: Pensions & Investments survey

41 M&I Investment Management Corp.

111 E. Kilbourn Ave., Suite 200

Milwaukee, WI 53202

(414) 287-8700

Fax: (414) 287-8730

marshallfunds.com

(millions)

401(k) total$3,131

Total DC assets$4,121

Internally managed DC$4,121

Investment vehicle:

Mutual funds$1,727

Separate accounts$2,394

Life cycle/asset allocation $1,730

Asset mix:

Stocks38%

Cash23%

Bonds33%

Stable value6%

Client contact: Anne Tidmore

42 TCW Group

865 S. Figueroa St., Suite 1800

Los Angeles, CA 90017

(213) 244-0000

Fax: (213) 244-0741

tcw.com

(millions)

401(k) total$2,995

Total DC assets$3,444

Internally managed DC$3,444

Investment vehicle:

Mutual funds$1,412

Separate accounts$2,032

Asset mix:

Stocks52%

Bonds48%

Client contact: Drew Graser

43 UBS Global Asset Management

1 N. Wacker Drive

Chicago, IL 60606

(312) 525-7100

Fax: (312) 525-7199

ubs.com/rc

(millions)

401(k) total$2,775

Total DC assets$2,775

Internally managed DC$2,775

Investment vehicle:

Mutual funds$642

Separate accounts$659

Other commingled$1,474

Asset mix:

Stocks83%

Cash2%

Bonds10%

Other5%

Client contact: Robert McGowan

44 Fred Alger Management Inc.

111 Fifth Ave.

New York, NY 10003

(212) 806-8800

Fax: (212) 806-2942

alger.com

(millions)

401(k) total$2,674

Total DC assets$2,966

Internally managed DC$2,966

Investment vehicle:

Mutual funds$2,966

Asset mix:

Stocks100%

Client contact: L. Charles “Duke” Meythaler

45 LSV Asset Management

1 N. Wacker Drive, Suite 4000

Chicago, IL 60606

(312) 460-2443

Fax: (312) 220-9241

lsvasset.com

(millions)

401(k) total$2,155

Total DC assets$2,155

Internally managed DC$2,155

Investment vehicle:

Separate accounts$2,155

Asset mix:

Stocks99%

Cash1%

Client contact: Christopher LaCroix

46 OneAmerica

One American Square, P.O. Box 368

Indianapolis, IN 46206

(317) 285-1877

Fax: (317) 285-1488

eretirement.aul.com

(millions)

401(k) total$2,144

Total DC assets$8,432

Internally managed DC$3,874

Investment vehicle:

Separate accounts$3,874

Client contact: Jody O’Dell

47 Metropolitan West Asset Management LLC

11766 Wilshire Blvd., Suite 1500

Los Angeles, CA 90025

(310) 966-8900

Fax: (310) 966-8951

mwamllc.com

(millions)

401(k) total$1,685

Total DC assets$1,685

Internally managed DC$1,685

Investment vehicle:

Mutual funds$935

Separate accounts$750

Asset mix:

Bonds100%

Client contact: Brian Cone

48 Advantus Capital Management Inc.

400 Robert St. N.

St. Paul, MN 55101

(651) 665-3826

Fax: (651) 223-5959

advantuscapital.com

(millions)

401(k) total$1,637

Total DC assets$1,684

Internally managed DC$1,637

Investment vehicle:

Other commingled$1,637

Asset mix:

Stocks56%

Bonds44%

Client contact: John Messing

49 Hartford Financial Services Group Inc.

690 Asylum Ave.

Hartford, CT 06105

(860) 547-5000

Fax: (860) 843-5775

thehartford.com

(millions)

401(k) total$1,471

Total DC assets$27,282

Internally managed DC$6,153

Investment vehicle:

Mutual funds$6,153

Client contact: Paul Meskiewicz

50 Third Avenue Management LLC

622 Third Ave., 32nd Floor

New York, NY 10017

(212) 888-5222

Fax: (212) 888-6757

thirdave.com

(millions)

401(k) total$1,262

Total DC assets$1,262

Internally managed DC$1,262

Investment vehicle:

Mutual funds$1,262

Asset mix:

Stocks100%

Client contact: Joanne Jaffin Mason

*Figures are only for Mellon Financial Corp., which merged with The Bank of New York Co. Inc. in July.

Firms not breaking out 401(k) assets are excluded.

Source: Pensions & Investments survey

Related Topics: DataBook