2016 NAPA Black Book

THE DEFINITIVE GUIDE TO THE INDUSTRY’S TOP DISTRIBUTORS, RECORDKEEPERS, DCIO AND TPA FIRMS

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No two clients are alike. That’s why you need a retirement plan provider that has the flexibility to fit the demands of your clients. ADP has a legacy of delivering successful retirement plans that create long-term value, are easy to manage and provide a wide range of investment choices.

To learn how ADP can help you build better retirement plans for your clients, contact us at 844-ADP ELITE, or visit www.adp.com/partners/financial-advisors.aspx

ADP, LLC and its affiliates do not offer investment, financial, tax or legal advice or management services. For its retirement plan recordkeeping customers, ADP agrees to act as a nondiscretionary recordkeeper performing ministerial functions at the direction of the plan sponsor and/or plan administrator. Accordingly, ADP does not serve in a fiduciary capacity to any of the retirement plans for which it provides recordkeeping services. ADP also does not serve as an investment advisor or manager to any of the retirement plans for which it provides recordkeeping services. Nothing in these materials is intended to be, nor should be construed as, advice or a recommendation for a particular situation or plan. Please consult with your own advisors for such advice.

ADP and the ADP logo are registered trademarks of ADP, LLC. ADP A more human resource. is a service mark of ADP, LLC. All other trademarks and service marks are the property of their respective owners. 99-1893-N-0816 Copyright © 2015-2016 ADP, LLC ALL

Retirement benefits to meet the workplace needs of your clients.

DCIOs

AB 28

Allianz Global Investors 28

American Century Investments 12

AQR 29

Beaumont Capital Management (BCM) 29

BlackRock 14

BNY Mellon Retirement 30

Capital Group 30

Charles Schwab Investment Management, Inc. 16

Columbia Threadneedle Investments 18

Eagle Fund Distributors, Inc. 31

Federated Investors 31

Fidelity Institutional Asset Management 32

Franklin Templeton Investments 32

Galliard Capital Management 33

Goldman Sachs 33

Invesco 20

J.P. Morgan Asset Management 34

Janus Capital Group 34

John Hancock Investments 35

Legg Mason Global Asset Management 22

Lord Abbett 42

Manning & Napier Advisors, LLC 35

MassMutual Funds 36

MFS Investment Management 36

Morley Financial Services 37

Natixis Global Asset Management 37 Neuberger Berman 38

New York Life Investment Management 38

OppenheimerFunds 24

PIMCO 39

Principal Global Investors 39

Putnam Investments 40

Ridgeworth Investments 40 Russell Investments 42 T. Rowe Price 26

TIAA Global Asset Management - Nuveen 41

USAA Investment Management Company 42

RECORDKEEPERS

12-42 50-76

ADP Retirement Services 60

Alliance Benefit Group Rocky Mountain 60

Alliance Benefit Group, LLC 61

American Funds 61

American Trust Retirement 50 Ascensus, Inc. 62

Aspire Financial Services 62

Bank of America Merrill Lynch 62

Billings and Company, Inc. 76 BlueStar 63 BPAS 63

CUNA Mutual Retirement Solutions 52

Ekon Benefits 76

Employee Fiduciary, LLC 76

Empower Retirement 64 EPIC Advisors, Inc. 76

Fidelity Investments ® 64

J.P. Morgan Asset Management 65

John Hancock Retirement Plan Services 54

July Business Services 65

Lincoln Financial Group 66

MassMutual Financial Group 66 Milliman, Inc. 67

Mutual of Omaha 67

Nationwide 68

North American KTRADE Alliance, LLC 68 Ohio National 76 OneAmerica 69 Pai 56 Paychex, Inc. 69

Pentegra Retirement Services 70

Principal Financial Group 70

Prudential Retirement 71 Retirement Plan Consultants LLC 71

Securian Financial Group 72 Sentinel Benefits & Financial Group 76

T. Rowe Price Retirement Plan Services, Inc. 72

The Standard 73

Transamerica 58

Ubiquity Retirement & Savings 73 Unified Trust Company, N.A. 74

VALIC 76

Vantage Benefits Administrators 75 Voya Financial 75

BROKER DEALERS & RIAs

86-110

Advisor Group 86

Arcwood Financial, LLC 108

AssetGrade, LLC 86

Axia Advisory 87

Bank of America Merrill Lynch 87

Beaumont Financial Partners, LLC 88

Cafaro Greenleaf 88

Cambridge Investment Research, Inc. 89

CAPTRUST 89

CBIZ Retirement Plan Services 90

CBS Funding, Inc. 90 Cetera Financial Group 91

Clearview Group 91

Commonwealth Financial Network 92

Cooney Financial Advisors Inc 92

Cornerstone Capital Systems 108

Direct Retirement Solutions 93 Fiducia Group, LLC 93

Global Retirement Partners Advisor Alliance 94

Gordon Asset Management, LLC 94

Independent Financial Group, LLC 108

Independent Financial Partners 95

Institutional Investment Consulting 95

INVEST Financial Corporation 109

Investment Centers of America, Inc. 109

IRON Financial 96

Latus Group, Ltd. 96

LPL Financial 97

M Financial Group 97

Marietta Wealth 98

Mariner Retirement Advisors 98

Morgan Stanley 99

National Planning Corporation 99

Pension Consultants, Inc. 100

Pensionmark Financial Group 100

Plante Moran Financial Advisors, LLC 109

Plexus Financial Services 101

Precept Advisory Group, LLC 101

Raymond James 102

Resources Investment Advisors, Inc. 102

Retirement Fund Management 103

Roush Investment Group 103

SageView Advisory Group 104

Sentinel Pension Advisors, Inc. 104

SII Investments, Inc. 110

Soltis Investment Advisors 105

The Pacific Financial Group, Inc. 105

Twelve Points Retirement Advisors 106

UBS Financial Services 106

Waddell & Reed, Inc. 110

Wells Fargo Advisors 107

TPAs

118-131

Alliance Benefit Group Rocky Mountain 120

Altigro Pension Services, Inc. 124

AMI Benefit Plan Administrators, Inc. 124

Atlantic Pension Services, Inc 124

Billings and Company, Inc. 125

Boulay Donnelly & Supovitz Consulting Group, Inc. 125

BPAS 120

CBIZ Retirement Plan Services 121

Cetera Retirement Plan Specialists 121

DWC ERISA Consultants, LLC 122

Dynamic Pension Services, Inc. 125

Edberg & Perry, Inc. 126

Ekon Benefits 126

Intac Actuarial Services, Inc. 126

July Business Services 122

Lurie, LLP 127

Mrs401k 127

National Benefit Services LLC 127

National Retirement Services, Inc. (NRS) 128

Noble-Davis Consulting, Inc. 128

Pension Review Services 128

Pinnacle Plan Design 129

Qualified Concepts, Inc. 129

Qualified Plan Consultants, Inc. 129

Rea Consulting Group, LLC 130

Reed-Ramsey, Inc. 130

Spectrum Pension Consultants, Inc. 130

Summit Benefit & Actuarial Services, Inc. 131

Swerdlin & Company 131

TAG Resources, LLC 123

The MandMarblestone Group LLC 131

The Nolan Company 118

The Retirement Team, Inc. 132

Trinity Pension Consultants 132

TriStar Pension Consulting 132

Vantage Benefits Administrators 123

EDITOR-IN-CHIEF

Nevin E. Adams, JD

PUBLISHER

Erik Vander Kolk evanderkolk@usaretirement.org

EDITOR John Ortman jortman@usaretirement.org

GRAPHIC DESIGNERS

Lisa M. Marfori lmarfori@usaretirement.org

Marlene (Mars) Anderson manderson@usaretirement.org

ADVERTISING MANAGER

Renato Macedo rmacedo@usaretirement.org

NAPA OFFICERS

PRESIDENT Samuel Brandwein, QPA, CFP, CIMA, CRPS

VICE PRESIDENT Jeff Acheson

EXECUTIVE DIRECTOR/CEO Brian H. Graff, Esq., APM

NAPA Net the Magazine is published quarterly by the National Association of Plan Advisors, 4245 North Fairfax Dr., Suite 750, Arlington, VA 22203. For subscription information, advertising and customer service, please contact NAPA at the above address or call 800-308-6714, or customercare@ napa-net.org. Copyright 2016, National Association of Plan Advisors. All rights reserved. This magazine may not be reproduced in whole or in part without written permission of the publisher. Opinions expressed in bylined articles are those of the authors and do not necessarily reflect the official policy of NAPA.

Postmaster: Please send change-of-address notices for NAPA Net the Magazine to NAPA, 4245 North Fairfax Dr., Suite 750, Arlington, VA 22203.

ZeroOptionsophobia:

Several decades back I broke my was winter (of course), I was living in the Chicago suburbs at the time, and in addition to a very demanding job in the Loop, I was going to law school at night. Difficult as this will be for many to imagine, this was before we had email, voice mail, or even the Internet. In sum, I had to find a way to get into work, and to school. Did I mention it was my driving leg?

Fortunately, my apartment was within walking distance to public transportation — although in fairness “walking distance” takes on a whole new meaning when on crutches.

There was, of course, the issue of carrying materials to and from work, not to mention my law books. My crutches made carrying a briefcase impractical, and so — well, before it was “cool” to use a backpack for work, I was. Then, as now, I found it to be a handy way to keep with me lots of useful information — and my law books fit much better as well. I retired that backpack along with my crutches (it really wasn’t a good look for work at the time) — but I could never have gotten through that period without it.

In an industry where change, turnover, and consolidation are the norm, it can be hard to keep up, and to keep up with the information you need when you need it. Indeed, it’s incredible to look back on what’s happened in the months since we published the inaugural NAPA Black Book, and realize just how much change has occurred.

There is, for all the change that surrounds us, some reassuring continuity both in the quantity and quality of the organizations that support retirement plan advisors, and that are represented in the pages that follow.

That said, this year’s Black Book is literally bigger and arguably better than its predecessor. There are more firms represented in each of the main categories, and we have added an entirely new category to the mix, that of third-party administrators, or TPAs.

The goal this year, as it was last, is to pull together in a single handy reference guide key information points about key advisor partners: the size and scope of their business, target markets, select historical data trends, and of course, the means to reach out to find out more.

In addition to the Table of Contents nearby, each of the sections opens with an “at-a-glance” table of the providers in each section. While it includes only a subset of information from the detailed provider listings that follow, we hope it will help you glean a sense of the key service attributes of each, and help you navigate to the service provider(s) that are most suitable to meet your service requirements.

You’ll want to take particular note of those who, as NAPA Firm Partners, support the mission of the National Association of Plan Advisors in a special way. We’ve noted

them in the pages that follow, with a special logo indicating that status. In a very real sense, what we do here in all its aspects — education, advocacy, and information — is made possible by their support, as well as that of our advertisers, many of whom are also Firm Partners.

In this day and age, one might well wonder why this information is being produced in such a traditional format. The answer, quite simply, is that many of our readers will find this medium easier to reference and review. It can — and we hope it will — be a resource that you can keep at your fingertips throughout the year. However, as we did last year, there is an enhanced online version (for NAPA Firm Partners) under the Partner Corner tab at www.napa-net.org, and once again it will also be available in a digital version via the NAPA App. This will allow you to not only readily search throughout the publication, but to share profiles and other information via email or social media with your peers and colleagues.

So many of you have commented to me over the past year on how useful this guide was as a resource in your practice. I’m sure you will find this year’s version to be even more so, and look forward to your comments and suggestions to make it an even more vital tool in the months ahead.

Thanks again, as always, for your support of NAPA, and our information resources. N

NEVIN E. ADAMS, JD ≥ Editor-in-Chief nevin.adams@usaretirement.org

When you need a handy way to keep lots of useful information…

We hope that you will find the Black Book to be a useful resource, and that you will have opportunity to refer to it regularly.”

IS YOUR DC PLAN MISSING SOMETHING?

For participants, the accumulation stage is only part of the journey. A transitional income strategy can help bridge the gap between saving and spending in retirement, and we offer a range of flexible solutions specifically designed for that purpose.

Investors should carefully consider a fund’s investment goals, risks, charges and expenses before investing. To obtain a Franklin Templeton fund summary prospectus and/or prospectus that contains this and other information, call 1-800-342-5236. Investors should read the prospectus carefully before investing.

All investments involve risks, including possible loss of principal. Investing in a Franklin Templeton fund does not guarantee one’s retirement needs will be met.

© 2016 Franklin Templeton Distributors, Inc. All rights reserved.

THEDCIOs

Defined Contribution Investment Only providers, better known as DCIOs, are an essential part of the DC business, and their wholesalers have become an integral part of many advisory practices.

efined Contribution Investment Only providers, better known as DCIOs, are an essential component of the burgeoning defined contribution space. More significantly, as evidenced by the prominence of key wholesalers in NAPA’s annual ranking of Top DC Wholesalers, these “wingmen” are an integral component of many advisory practices.

Sway Research estimates that DC investment-only (DCIO) assets now total $3.5 trillion, and make up 48% of the DC market. Moreover, Sway projects IO assets will grow at more than twice the rate of proprietary assets through the remainder of this decade to produce total DCIO AUM of $4.4 trillion in 2020, at which point IO will make up 52% of DC assets.

However, that growth will not be enjoyed by all. Sway notes that while assets at the average manager increased by 5% over the 12 months ended June 30, 2016, and while gross sales levels in the first half of 2016 improved relative to 2015, the average manager experienced slight net redemptions from its DCIO business of $21 million following net outflows of $304 million in 2015. While some trends (increased target-date fund usage) have worked to DCIO firms’ advantage, others (a growing market affinity for passively-managed options) have not.

Not only are these DCIO wholesalers among the most knowledgeable resources to advisors, these days the vast majority of resources now available to plan advisors, even those created by third parties, have been made available courtesy of DCIOs. As we noted last year, DCIO wholesalers have become de facto practice management experts, helping advisors not only manage their practice, but also sharing competitive information about what other Elite advisors are doing.

So what do advisors want in terms of support from DCIOs?

According to Ignites Research, in order of importance, they want:

• Competitive intelligence about what other advisors are doing

• Business-building tools

• Thought leadership and market commentary they can share with clients and prospects

• Sponsorship of events

• Insight into industry and regulatory changes

On the pages that follow you’ll find information regarding the firms that, though they make their living selling/promoting and supporting investment products, bring so much more to the table.

— Nevin Adams

AMERICAN CENTURY INVESTMENTS

BUSINESS METRICS

PRIMARY MARKET(S) SERVED

4500 MAIN STREET KANSAS CITY, MO 64111 americancentury.com KEY CONTACTS

Rick Luchinsky, (816) 340-3418

rick_luchinsky@americancentury.com

Kevin Eknaian, (816) 340-9217 kevin_eknaian@americancentury.com

Gary Kostuke, (816) 340-7880 gary_kostuke@americancentury.com

American Century Investments is a leading privately held investment management firm, committed to delivering superior investment performance and building long-term client relationships since its founding in 1958. Serving investment professionals, institutions, corporations and individual investors, the firm 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. Delivering investment results to clients enables American Century Investments to distribute over 40 percent of its dividends to the Stowers Institute for Medical Research, a world-class biomedical research organization. The Institute owns a controlling interest in the firm and dividend payments ensure the ongoing support of important work that can improve human health and save lives.

Micro (< $1 million)

Small ($1 million - $10 million)

Mid ($10 million - $100 million)

Large ($100 million - $250 million) Mega (>$250 million)

As of 6/30/16: $149,674 MM

As of 12/31/15: $146,163 MM

6/30/15: $150,556

As of 6/30/16: $38,437 MM

As of 12/31/15: $36,917 MM

As of 6/30/15: $38,053 MM

One Choice® Target Date Portfolios

Total Assets: 15,065 MM

Mid Cap Value Fund

Total Assets: 3,111 MM

Equity Income Fund

Total Assets: 2,085 MM

Growth Fund Total Assets: 1,699 MM Heritage Fund Total Assets: 1,196 MM

ADVISOR SUPPORT SERVICES

• External wholesalers focused on advisors

• External wholesalers focused on institutional

• Plan benchmarking

• Compliance support

• Training for DC plan sales/service

• Investment committee meetings

• Target-date evaluation tools

• Subject-matter experts as speakers for events

• DC value-add content, including national research

Toge

American Century Investments® is a leading asset manager focused on delivering investment results and building long-term client relationships while supporting research that can improve health and save lives. It’s how we and our clients together Prosper With Purpose

Every day, people are increasingly focused on investing to make the world a better place for themselves, their families, their organizations and the world at large. It is possible to live a more meaningful and impactful life and to give back something more valuable than money.

It’s like nothing you’ve seen before from an investment management firm.

When you invest with us, you can also invest in the future of others and have the potential to impact the lives of millions. That’s possible because of the distinct relationship with the Stowers Institute for Medical Research, which owns more than 40% of American Century. Our dividend payments provide ongoing financial support for the Institute’s work of uncovering the causes, treatments and prevention of life-threatening diseases, like cancer.

Our gOal is tO deliver investment results to help participants reach their retirement goals while supporting research that can improve human health and save lives

T her we can be a powerful force for good

BLA CKROCK DCIO

BUSINESS METRICS

PRIMARY MARKET(S) SERVED

TOP

55 EAST 52ND STREET NEW YORK, NY, USA 10055 blackrock.com/DC

KEY CONTACTS

Sean Murray, (415) 717-0552 sean.murray@blackrock.com

BlackRock's dedicated Defined Contribution team is a partner to plan sponsors and advisors, with the experience and resources to help you build better investment menus and evaluate and enhance plans. Visit BlackRock.com/DC to lean more about our DC investment strategies, thought leadership and value add programs.

Small ($1 million - $10 million)

Mid ($10 million - $100 million)

Large ($100 million - )$250 million)

Mega (>$250 million

TOTAL AUM ($MM)

As of 6/30/16: $4,890,000 MM

As of 12/31/15: $4,645,000 MM

As of 6/30/15: $4, 721,000 MM

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $644,063 MM

As of 12/31/15: $620,617 MM

As of 6/30/15: $621,700 MM

DCIO ASSET BREAKDOWN (BY %)

FUNDS BY DC ASSETS

1. Equity Index

Total Assets: $390,251 MM

2. Multi Asset Index Total Assets: $105,804 MM

3. Fixed Income Index Total Assets: $63,940 MM

4. Multi Asset Active Total Assets: $43,378 MM

5. Fixed Income Active Total Assets: $27,291 MM

ADVISOR SUPPORT SERVICES

• External wholesalers focused on advisors

• External wholesalers focused on institutional

• Plan benchmarking

• Compliance support

• Training for DC plan sales/service

• Investment committee meetings

DC: 17 Retail: 142

DCIO ASSET BREAKDOWN: ASSET ALLOCATION FUNDS ($)

Target-date: $134.9 B Balanced: $14.3 B Total: $149.2 B

ASSET ALLOCATION FUNDS

• BlackRock LifePath® Target Date Funds • BlackRock Target Allocation Funds

What

To get started visit BlackRock.com/ChangeTheEquation.

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC. DCIO BUSINESS METRICS

WEBSITE INFORMATION

211 MAIN STREET

SAN FRANCISCO, CA 94105

KEY CONTACTS

Neil Hickey, (617) 960-5217, Neil.Hickey@schwab.com

Charles Schwab Investment Management, Inc. (CSIM), one of the nation’s largest and most experienced asset managers, has partnered with clients for more than 25 years to provide foundational products with investors’ needs in mind.

CSIM’s dedicated and experienced DCIO team builds relationships with consultants, advisors and recordkeepers, by educating them on industry trends and how our high-quality, low-cost foundational products can be used to build strong and diverse portfolios, that aim to deliver consistent performance. Also in line with plan fiduciary priorities, CSIM strives to make investing less complicated with a straightforward approach that gives investors what they want and need, without unnecessary confusion.

CSIM is an industry leader in proprietary mutual funds, exchange-traded funds and collective trust funds. We encourage comparing our funds to any others—both in terms of product design and cost.

CSIMFunds.com

To learn more about the Schwab Managed Retirement Trust Funds™ and the Schwab Indexed Retirement Trust Funds® (both Charles Schwab Bank Collective Trust Funds for which CSIM provides non-discretionary advisory services) please also visit SchwabBankFunds.com.

PRIMARY MARKET(S) SERVED

Micro (< $1 million)

Small ($1 million - $10 million)

Mid ($10 million - $100 million)

Large ($100 million - $250 million)

Mega (>$250 million)

Schwab Managed Retirement Trust Funds™

Total Assets: $10,240 MM

Schwab® S&P 500 Index Fund

Total Assets: $3,946 MM

Schwab 1000 Index® Fund

Total Assets: $1,608 MM

Schwab Total Stock Market Index Fund®

Total Assets: $1,436 MM

Schwab Indexed Retirement Trust Funds® Total Assets: $1,265 MM

ASSET ALLOCATION FUNDS

• Schwab Target Index Funds

• Schwab Target Funds

• Schwab Managed Retirement Trust Funds™

• Schwab Indexed Retirement Trust Funds®

TOTAL AUM ($MM)

As of 6/30/16: $283,900 MM

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $4,269 MM

DCIO ASSET BREAKDOWN (BY %)

Collective trusts: 68% Mutual funds: 32%

• Schwab MarketTrack Portfolios™

• Schwab Balanced Fund™

ADVISOR SUPPORT SERVICES

• External wholesalers focused on advisors

• External wholesalers focused on institutional

• Compliance support

• Target-date evaluation tools

• Training for DC plan sales/service

• Investment committee meetings

NO. OF EXTERNAL WHOLESALERS

DC: 15

*$10 million minimum investment for Institutional Shares not purchased in an employer sponsored plan. Operating expenses for Investor Shares are higher, 13bps.

All funds listed above are institutional shares (Institutional Premium for Fidelity). Minimums and net OERs shown are as stated in each Fund’s prospectus as of 10/14/2016. Some firms may reserve the right to waive the minimums at their discretion.

†As stated in the prospectus, the investment adviser and its affiliates have agreed to limit the total annual fund operating expenses (including acquired fund fees and expenses (AFFEs), but excluding interest, taxes and certain non-routine expenses) of each of the funds to 0.08% for Institutional Shares for so long as the investment adviser serves as adviser to the funds. This agreement may only be amended or terminated with the approval of a fund’s Board of Trustees. AFFEs are indirect expenses incurred by the fund through its investments in the underlying funds.

Investors should consider carefully information contained in the prospectus, including investment objectives, risks, charges and expenses. You can request a prospectus for Schwab Funds by visiting csimfunds.com. Please read the prospectus carefully before investing.

Not FDIC-Insured · No Bank Guarantee · May Lose Value

The principal value of the funds is not guaranteed at any time, and will continue to fluctuate up to and after the target date. There is no guarantee the funds will provide adequate income at or through retirement.

The funds are built for investors who expect to start gradual withdrawals of fund assets on the target date, to begin covering expenses in retirement.

Target date fund asset allocations are subject to change over time in accordance with each fund’s prospectus.

The investment risks of the funds will change as asset allocations change. Investors should consider risk tolerance and personal finance conditions along with age and retirement date when investing in the funds.

The funds are subject to market volatility and risks associated with the underlying investments. Risks include exposure to international and emerging markets, small company and sector equity securities, and fixed income securities subject to changes in inflation, market valuations, liquidity, prepayments, and early redemption.

Charles Schwab Investment Management, Inc. (CSIM), the investment adviser for Schwab’s proprietary funds, and Charles Schwab & Co., Inc. (Schwab, Member SIPC), the distributor for Schwab Funds, are separate but affiliated companies and subsidiaries of The Charles Schwab Corporation.

This information is being furnished as educational and is not intended to constitute investment advice. Readers are expected to consult with their legal or financial advisers as applicable. The material in this presentation is based on information from a variety of sources we consider reliable, but we do not

can occur. None of the information constitutes a recommendation by Charles

any

Learn more about all of our target date solutions at csimfunds.com/targetdate

CO LU M BIA THREADNEEDLE INVE ST MENT S DCIO

BUSINESS METRICS

PRIMARY MARKET(S) SERVED

Small ($1 million - $10 million)

Mid ($10 million - $100 million)

Large ($100 million - $250 million)

TOP 5 FUNDS BY DC ASSETS

1. Columbia Dividend Income:

225 FRANKLIN ST. BOSTON, MA 02110

columbiathreadneedleus.com

KEY CONTACTS

Sales: Joseph Feloney, (617) 912-2230 joseph.feloney@columbiathreadneedle.com

Service: DCIO Sales Desk, (877) 894.3592

Columbia Threadneedle Investments is a leading global asset manager that provides a broad range of investment strategies and solutions for individual, institutional and corporate clients around the world. With more than 2,000 people, including over 450 investment professionals based in North America, Europe and Asia, we manage assets across developed and emerging market equities, fixed income, asset allocation solutions and alternatives.

Our approach to the retirement plan business is focused on the advisor. Whether you are a consultant, with a broker dealer, or own your own RIA, Columbia can help you navigate the market, develop innovative ways to win new business and increase your centers of influence.

TOTAL AUM ($MM)

As of 6/30/16: $460 B

As of 12/31/15: $500 B

As of 6/30/15: $490 B

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $26.6 B

As of 12/31/15: $26.8 B

As of 6/30/15: $30.3 B

DCIO ASSET BREAKDOWN (BY %)

Mutual funds: 80%

Collective trusts: 15%

Separate accounts: 5%

ASSET ALLOCATION FUNDS

• Columbia Adaptive Risk Allocation Fund

• Columbia Balanced Fund

• Columbia Capital Allocation Conservative

• Columbia Capital Allocation

Moderate Conservative

• Columbia Capital Allocation Moderate

• Columbia Capital Allocation

Moderate Aggressive

• Columbia Capital Allocation Aggressive

• Columbia Income Builder

• Columbia Thermostat Fund

Total Assets:

2015 New Fund Flows: $490 MM $9.3 B

2. Columbia Contrarian Core Total Assets: 2015 New Fund Flows: $720 MM $9.2 B

3. Columbia Balanced: Total Assets: 2015 New Fund Flows: $350 MM $5.2 B

4. Columbia Mid Cap Index: Total Assets: 2015 New Fund Flows: $700 MM $3.8 B

5. Columbia Large Cap Index:: Total Assets: 2015 New Fund Flows: $690 MM $3.5 B

ADVISOR SUPPORT SERVICES

• External wholesalers focused on advisors

• Compliance support

• Plan benchmarking

• Training for DC plan sales/service

• Investment committee meetings

• ERISA Consulting Desk

NO. OF EXTERNAL WHOLESALERS

DC: 7 Retail: 70

Columbia Threadneedle Investments (Columbia Threadneedle) is the global brand name of the Columbia and Threadneedle group of companies. Columbia funds are distributed by Columbia Management Investment Distributors, Inc., member FINRA, and managed by Columbia Management Investment Advisers, LLC. Columbia Management Investment Distributors, Inc., 225 Franklin Street, Boston, MA 02110-2804. © 2016 Columbia Management Investment Advisers, LLC. All rights reserved.

1555 PEACHTREE ST. NE ATLANTA, GA 30309 invesco.com/us

KEY CONTACTS

Jeffrey Hemker, (630) 258-6931 jeffrey.hemker@invesco.com

Sales Desk: (800) 370-1519

Invesco Ltd. is an independent investment management firm dedicated to delivering an investment experience that helps people get more out of life. We are privileged to manage more than $770 billion in assets on behalf of retail and institutional clients around the world by providing a comprehensive range of high-conviction investment capabilities designed to help clients achieve their investment objectives. (As of June 30, 2016.) The focus of the Invesco defined contribution investments only team is to connect with top DC-focused advisors, consultants, RIAs and platform partners to help grow their business - The Business of Retirement.

BUSINESS METRICS

PRIMARY MARKET(S) SERVED

Micro (<$1 million)

Small ($1 million - $10 million)

Mid ($10 million - $100 million)

Large ($100 million - $250 million)

Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $779,600 MM

As of 12/31/15: $775,600 MM

As of 6/30/15: $803,600 MM

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $102,500 MM

As of 12/31/15: $100,600 MM

As of 6/30/15: $102,500 MM

DCIO ASSET BREAKDOWN (BY %)

Separate accounts: 43.4%

Mutual funds: 36.7%

Collective trusts: Other: 12.8% 7.1%

TOP 5 FUNDS BY DC ASSETS

1. Invesco Diversified Dividend

Total Assets: $6.6 B

2. Invesco International Growth

Total Assets: $5.1 B

3. Invesco Equity & Income

Total Assets: $5.1 B

4. Invesco Comstock Total Assets: $4.6 B

5. Invesco Growth and Income Total Assets: $4.1 B

ADVISOR SUPPORT SERVICES

• External wholesalers focused on advisors

• External wholesalers focused on institutional

• Plan benchmarking

• Compliance support

• Target-date evaluation tools

• Training for DC plan sales/service

• Investment committee meetings

NO. OF EXTERNAL WHOLESALERS

DC: 11 Retail: 97

LEGG MASON DCIO

BUSINESS METRICS

PRIMARY MARKET(S) SERVED

TOP 5 FUNDS BY DC ASSETS

100 FIRST STAMFORD PL., 5TH FLOOR STAMFORD, CT 06902 leggmason.com

KEY CONTACTS

Gary Kleinschmidt, (215) 872-1317 gkleinschmidt@leggmason.com

Ursula Henry, (203) 703-7567 uhenry@leggmason.com

Legg Mason is a leading global investment company committed to helping clients reach their financial goals through long-term, actively managed investment strategies.

• Over $739 billion* in assets invested worldwide in a broad mix of equities, fixed income, alternatives and cash strategies

• A diverse family of specialized investment managers, each with its own independent approach to research and analysis

• Over a century of experience in identifying opportunities and delivering astute investment solutions to clients.

*AUM as of 9/30/16

• •

Micro (<$1 million)

Small ($1 million - $10 million)

Mid ($10 million - $100 million)

Large ($100 million - $250 million)

TOTAL AUM ($B)

As of 9/30/16: $733 B

As of 12/31/15: $671.5 B

As of 6/30/15: $699.2 B

TOTAL DCIO ASSETS ($MM)

As of 9/30/16: $23.9 B

As of 12/31/15: $23,549 MM

As of 6/30/15: $25,798 MM

DCIO ASSET BREAKDOWN (BY %)

Mutual funds: 71.9%

Separate accounts: 22.6% Collective trusts: Money market: 4.9% 0.6%

1. Western Asset Core Plus Bond Fund

Total Assets: $4,125 B

2. Western Asset Core Bond Fund

Total Assets: $1,800 B

3. ClearBridge Aggressive Growth Fund

Total Assets: $1,745 B

4. ClearBridge Small Cap Growth Fund

Total Assets: $1,325 B

5. Royce Pennsylvania Mutual Fund

Total Assets: $769 MM

ADVISOR SUPPORT SERVICES

• External wholesalers focused on advisors

• External wholesalers focused on institutional

• Plan benchmarking

• Target-date evaluation tools

• Training for DC plan sales/service

• Investment committee meetings

NO.

OF EXTERNAL WHOLESALERS

DC: 8 Retail: 40

OPPENHEIMERFUNDS DCIO

BUSINESS METRICS

PRIMARY

MARKET(S) SERVED

Micro (< $1 million)

Small ($1 million - $10 million)

Mid ($10 million - $100 million)

TOP 5 FUNDS BY DC ASSETS

1. Developing Markets Fund:

Total Assets: $8,714 MM

2015 New Fund Flows: $2,469 MM

225 LIBERTY STREET NEW YORK, NY 10281

oppenheimer funds.com

KEY CONTACTS

Sales: Paul Temple, (212) 323-5119 ptemple@ofiglobal.com

Sales: Clint Modler, (303) 378-4644 cmodler@ofiglobal.com

OppenheimerFunds offers a broad, deep range of domestic and international equity and fixed income and alternative investment strategies. Our heritage in retirement plans provides us with insights that inform plan design, anticipate plan sponsor concerns and help realize successful plan outcomes. Our seasoned retirement professionals can help you and your clients adapt to new regulations, support your efforts to build forward-thinking, diversified fund lineups, and help plan sponsors—and their participants—achieve their goals. Our expertise helps you focus your retirement advisory business. This makes us different. And it makes us a resource for you and your business.

TOTAL AUM ($MM)

As of 6/30/16: $217,073 MM

As of 12/31/15: $216,810 MM

As of 6/30/15: $235,019 MM

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $32,919 MM

As of 12/31/15: $33,337 MM

As of 6/30/15: $36,591 MM

DCIO ASSET BREAKDOWN (BY %)

Mutual funds: 90%

Money market: 6%

Other: Collective trusts: 2.7% 1%

2. International Growth Fund:

Total Assets: $5,787 MM

2015 New Fund Flows: $1,940 MM

3. Global Fund: Total Assets: $3,221 MM

2015 New Fund Flows: $897 MM

4. International Bond Fund: Total Assets: $1,227 MM

2015 New Fund Flows: $436 MM

5. Main Street Mid Cap Fund: Total Assets: $926 MM

2015 New Fund Flows: $299 MM

ADVISOR SUPPORT SERVICES

• External wholesalers focused on advisors

• External wholesalers focused on institutional

• Compliance support

• Plan benchmarking

• Target-date evaluation tools

• Training for DC plan sales/service

• Investment committee meetings

NO. OF EXTERNAL

DC: 14 Retail: 85

WHOLESALERS

INVEST IN A BEAUTIFUL WORLD.

The world is an amazing place. Optimistic. Unstoppable. Even courageous. Where big ideas hide in unusual places. Cures are found in curious plants. And magic is made of diodes and pixels. We look beyond the short term and see potential in places others overlook. Rewards down paths others are afraid to go. And opportunity where you least expect it. Invest with active managers who have a long-term view, a global perspective and the courage to go against the herd mentality. That’s the right way to invest in this big, bold, beautiful world.

For 60 years we’ve been passionately serving financial advisors, institutions and investors. Contact your financial advisor or learn more at oppenheimerfunds.com/beautiful

T. ROWE PRICE DCIO

BUSINESS METRICS

PRIMARY MARKET(S) SERVED

ASSET ALLOCATION FUNDS

100 EAST PRATT STREET BALTIMORE, MD 21202 troweprice.com

KEY CONTACTS

Mark Cover, 410) 345-4954 mark_cover@troweprice.com

T. Rowe Price is an asset management firm focused on delivering global investment management excellence and retirement services that investors can rely on—now, and over the long term.

We provide an array of commingled funds, subadvisory services, separate account management, retirement recordkeeping, and related services for individuals, advisors, institutions, and/or retirement plan sponsors.

The principle on which Thomas Rowe Price, Jr., founded the firm in 1937—that his company’s success should follow from the success it achieves for its clients—continues to guide us today. Our disciplined investment approach is rooted in proprietary research carried out by experienced professionals around the globe. To this approach, we bring a deep understanding of client needs and a long-term view that balances risk and reward. And we nurture a culture that encourages collaboration and diverse thinking.

Micro (<$1 million)

Small ($1 million – $10 million)

Mid ($10 million – $100 million)

Large ($100 million – $250 million)

Mega (>$250 million)

TOTAL AUM ($MM)

As of 09/30/16: $812,900 MM

As of 12/31/15: $763,000 MM

As of 12/31/14: $746,800 MM

TOTAL DCIO ASSETS ($MM)

As of 09/30/16: $250,827 MM

As of 12/31/15: $229,933 MM

As of 12/31/14: $214,837 MM

DCIO ASSET BREAKDOWN (BY %)

Mutual funds: 69.5%

Collective trusts: 10.7%

Separate accounts: 19.8% Stable value: 3.4%

Money market: 0.2%

• T. Rowe Price Retirement Funds

• T. Rowe Price Target Funds

• T. Rowe Price Retirement Trusts

• T. Rowe Price Retirement Hybrid Trusts

ADVISOR SUPPORT SERVICES

• External wholesalers focused on advisors

• External wholesalers focused on institutional

• Plan benchmarking

• Training for DC plan sales/service

• Investment committee meetings

NO. OF EXTERNAL WHOLESALERS

DC: 9 Retail: 28

DCIO ASSET BREAKDOWN: ASSET ALLOCATION FUNDS ($)

Target-date: $97,313 MM

Target-risk: $5,504 MM

Balanced: $499 MM

Total: $103,316 MM

WELLNESS WORKS

Financial wellness has gone from buzzword to essential business element for DC plan sponsors and the advisors who work with them. The reasons are clear: financially healthy employees are less stressed, more productive, and better able to save for retirement. And advisors who can strategically deliver wellness today will be in a strong position to continue guiding their clients tomorrow. We can help—with actionable insights and practical tactics. troweprice.com/wellnessworks | #TRPFinWell

See how it can power your practice.

KEY CONTACTS

AB Retirement Sales Team, 1 (800) 243-6812

WEBSITE ABGlobal.com

FIRM PROFILE

At AB, we’re working to define the future of Defined Contribution (DC), striving to keep clients ahead with visionary research and progressive innovation in DC solutions. Leveraging four decades of designing assetallocation strategies and managing portfolios for institutions and individuals globally, we’ve developed a wide range of solutions for DC plans. They range from asset-class and style-specific strategies to multi-asset-class Qualified Default Investment Alternatives, including target-date and target-risk funds—and lifetime income solutions. We deliver pre-packaged or customized strategies, including target-date solutions tailored to a plan’s demographics. Applying best practices in plan design, investments and communications, we collaborate across our firm and industry—even with competitors—to help plans of all sizes keep ahead of what’s next.

PRIMARY MARKET(S) SERVED

Mid ($10 - $100 million), Large ($100 - $250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $490,000 MM

As of 12/31/15: $468,000 MM

As of 6/30/15: $485,000 MM

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $45,741 MM

As of 12/31/15: $46,618

As of 6/30/15: $48,866 MM

ALLIANZ GLOBAL INVESTORS

KEY CONTACTS

Sales: Forrest Wilson, (917) 828-6926, Forrest.Wilson@allianzgi.com Service: Kilie Donahue (212) 739-4278, Kilie.donahue@allianzgi.com

WEBSITE us.AllianzGI.com

FIRM PROFILE

Allianz Global Investors is a diversified active investment manager with a strong parent company and a culture of risk management. With 25 offices in 18 countries, we provide global investment and research capabilities with consultative local delivery. We have ¤469 billion in assets under management for individuals, families and institutions worldwide, and employ more than 540 investment professionals.*

At Allianz Global Investors, we follow a two-word philosophy: Understand. Act. It describes how we look at the world and how we behave.

*Combined worldwide AUM as of June 30, 2016

PRIMARY MARKET(S) SERVED

Mid ($10-$100 million), Large ($100 - $250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $42,101 MM

As of 12/31/15: $46,343 MM

As of 6/30/15: $53,575 MM

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $10,600 MM

As of 12/31/15: $10,400 MM

As of 6/30/15: $11,128 MM

KEY CONTACTS

Daniel Zelazny, (773) 840-6605, Daniel.Zelazny@aqr.com Sean de Lacey, (617) 895-2013, Sean.deLacey@aqr.com Ken Ebeling, (203) 742-6493, Ken.Ebeling@aqr.com

WEBSITE AQR.com

FIRM PROFILE

AQR takes a systematic, research-driven approach, applying quantitative tools to process fundamental information and manage risk. Our clients include institutional investors, such as pension funds, defined contribution plans, insurance companies, endowments, foundations, family offices and sovereign wealth funds, as well as RIAs, private banks and financial advisors. Investment decisions across all funds are made using a series of global asset allocation, arbitrage, and security selection models, and are implemented using proprietary trading and risk-management systems.

As of September 30, 2016, AQR had approximately $172.4 billion* in assets under management.

PRIMARY MARKET(S) SERVED

Small ($1 - $10 million) Mid ($10 -$100 million), Large ($100 - $250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $159,200 MM As of 12/31/15: $141,400 MM

As of 6/30/15: $136,200 MM TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $4,900 MM

As of 12/31/15: $3,200 MM As of 6/30/15: $2,900 MM

BEAUMONT CAPITAL MANAGEMENT (BCM)

KEY CONTACTS

Robert Hawke, (781) 400-2840, rhawke@investBCM.com Bob Peatman (781) 400-2842, bpeatman@investBCM.com

WEBSITE investBCM.com

FIRM PROFILE

Beaumont’s wealth management practice, Beaumont Financial Partners LLC, has been investing for private and institutional clients since 1981. After the 2007-09 financial crisis, our clients were looking for new solutions with the potential to avoid large market losses like those of the previous 10 years.

In 2009, BCM was created to deliver innovative, ETF-based growth strategies with defensive capabilities. Our investment committee members have more than 300 years of collective industry experience. Our background in fundamental investing, coupled with our experience in quantitative investing, gives us clear perspective to effectively execute rules-based strategies for our clients. We have the sophistication to analyze the markets clearly—and the client focus to deliver solutions simply.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million)

TOTAL AUM ($MM)

As of 6/30/16: $3,800 MM

As of 12/31/15: $4,200 MM

As of 6/30/15: $4,009 MM

ASSET ALLOCATION FUNDS

•

•

•

ADVISOR SUPPORT SERVICES

External

NO. OF EXTERNAL WHOLESALERS (DC/Retail): 15/6

BNY MELLON RETIREMENT

BOSTON, MA

KEY CONTACTS

Dan Steele, (617) 722-7355, daniel.steele@bnymellon.com

WEBSITE BNYmellon.com/DC

FIRM PROFILE

It’s time to have brave conversations about pressing DC issues. Our mission is to help DC decision-makers address their most pressing challenges —designing plans, arming fi duciaries, directing investments and engaging participants. We’re committed to partnering with you to provide the tools needed to help participants achieve the targeted retirement outcomes they deserve. As the world’s 7th largest global asset manager with $1.6 trillion in assets under management, we are able to bring the power of our multi-boutique model and diverse perspectives to deliver the DC solutions and thinking plan decision makers and their participants need. To discover more about retirement best practices and BNY Mellon Retirement, visit us at bnymellon.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $1.6 T

As of 12/31/15: $1.6 T

As of 6/30/15: $1.6 T

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $36.6 B

As of 12/31/15: $40.3 B

As of 6/30/15: $41.2 B

DCIO ASSETS BREAKDOWN (%)

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisers, external wholesalers focused on institutional, plan benchmarking, training for DC plan sales/service

FUNDS BY DC ASSETS

CAPITAL GROUP

LOS ANGELES,

KEY CONTACTS

CA

Craig Duglin, (213) 486-9635, cad@capgroup.com, Greg Williams, (213) 486-9559, gddw@capgroup.com, WEBSITE americanfunds.com

FIRM PROFILE

For more than 40 years, American Funds has offered advisors and plan sponsors thoughtful approaches to meet their participants’ retirement needs. Our time-tested approach and history of providing low-cost, actively managed solutions can help optimize participant outcomes at every stage of the investment life cycle.

PRIMARY MARKET(S) SERVED

Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 - $250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $1,433,714 MM

As of 12/31/15: $1,390,274 MM

As of 6/30/15: $1,433,492 MM

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $278,520 MM

As of 12/31/15: $272,963 MM

As of 6/30/15: $283,621 MM

KEY CONTACTS

Jay Natkow, (727) 573-3869, jay.natkow@carillontower.com

Justin Beltran, (727) 573-3870, Justin.Beltran@carillontower.com

Taylor Pierce, (727) 573-3871, Taylor.Pierce@carillontower.com

WEBSITE Eagleasset.com

FIRM PROFILE

Founded in 1976, Eagle Asset Management was built on the cornerstones of intelligence, experience and conviction. Individual and institutional investors currently entrust $32.4 billion* (as of Sept. 30, 2016) in assets with us and our affiliates. It is the structure of our portfolio-management teams – both equity and fixed income, across market capitalizations and investment styles – that differentiates Eagle and makes us a valued resource to our clients worldwide.

Eagle Family of Funds has a dedicated team that focuses on the Defined Contribution-Investment Only (DCIO) marketplace. Eagle Funds offers high-end boutique products that specialize in asset classes that many consider critical to the average 401(k) participant, focusing on the capacity-constrained or performance-challenged areas of small and mid-growth. In addition, we have niche products in the large growth, large value and foreign large blend asset classes. Our managers seek competitive performance and positive alpha, and employ riskmanagement policies that generally pursue lower betas and standard deviations: a good fit for any retirement plan.

*Includes Eagle Asset Management, Inc. ($25.6 billion) and wholly owned subsidiary Eagle Boston Investment Management, Inc. ($0.8 billion) as well as Eagle affiliates ClariVest Asset Management, LLC ($4.8 billion) and Cougar Global Investments, LTD ($1.2 billion).

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1-$10 million), Mid ($10 - $100 million), Large ($100 - $250 million), Mega (>$250 million)

As of 6/30/16: $31,300 MM

As of 12/31/15: $31,200 MM As of 6/30/15: $31,200 MM

KEY CONTACTS

Bryan Burke, AIF, Senior Vice President, National Sales Manager, (405) 229-7996, bburke@federatedinv.com

WEBSITE FederatedInvestors.com

FIRM PROFILE

Federated Investors, Inc. is a leading global investment manager and one of the largest in the United States, managing $367.2 billion in assets as of June 30, 2016. Federated was founded over 60 years ago with the belief that doing business the right way over time presents the best opportunity for future growth. Through countless market cycles, Federated has been dedicated to meeting the diverse needs of institutions, financial advisers and their clients with discipline and innovation, stability and forward thinking, consistently employing the highest standards of fiduciary responsibility.

Our investment experience spans domestic and international equity, fixedincome, alternative and money market strategies to help investors pursue their financial goals. Federated’s experienced investment professionals are committed to fundamental research and employ a collaborative approach that integrates their knowledge, perspectives and understanding as they seek to outperform benchmarks in both bull and bear markets.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million)

TOTAL AUM ($MM)

As of 6/30/16: $367,178 MM

As of 12/31/15: $361,100 MM

As of 6/30/15: $349,700 MM TOTAL

As of 6/30/16: $44,510 MM

As of 12/31/15: $43,956 MM

KEY CONTACTS

Derek Wallen, (800) 343-1492, derek.wallen@fmr.com

WEBSITE institutional.fidelity.com/dcio

FIRM PROFILE

Fidelity Institutional Asset ManagementSM(FIAM) is one of the largest organizations serving the U.S. institutional marketplace. FIAM is a gateway to Fidelity’s original insight and diverse investment capabilities across equity, fixed income, high-income and global asset allocation. FIAM is a division of Fidelity Investments. With assets under administration of $5.6 trillion, including managed assets of $2.1 trillion as of September 30, 2016, we focus on meeting the unique needs of a diverse set of customers. Data encompasses multiple affiliated companies, and is sourced from Fidelity’s corporate statistics and recordkeeping data.

PRIMARY MARKET(S) SERVED

Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 -$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $442,000 MM

As of 12/31/15: $400,980 MM

As of 6/30/15: $440,000 MM

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $38,000 MM

As of 12/31/15: $39,800 MM

As of 6/30/15: $41,400 MM DCIO ASSETS BREAKDOWN (%)

FRANKLIN TEMPLETON INVESTMENTS

KEY CONTACTS

Jason Colarossi, (727) 299-7150, jason.colarossi@franklintempleton.com

WEBSITE FranklinTempleton.com

FIRM PROFILE

At Franklin Templeton Investments, we’re dedicated to one goal: delivering exceptional asset management for our shareholders. By bringing together multiple, world-class investment teams in a single firm, we’re able to offer specialized expertise across styles and asset classes, all supported by the strength and resources of one of the world’s largest asset managers. This has helped us to become a trusted partner to individual and institutional investors across the globe.

PRIMARY MARKET(S) SERVED

Micro (<$1 million) Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 - $250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $732.1 MM

As of 12/31/15: $763.9 MM

As of 6/30/15: $866.1 MM

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $26.8 MM

As of 12/31/15: $28.5 MM

As of 6/30/15: $34.3 MM

BY DC ASSETS

ADVISOR SUPPORT SERVICES

GALLIARD CAPITAL MANAGEMENT

MINNEAPOLIS, MN

KEY CONTACTS

Linh Buoen, (612) 667-1160, linh.t.buoen@galliard.com

Mike Norman, (612) 667 3219, michael.d.norman@galliard.com

WEBSITE Galliard.com

FIRM PROFILE

Galliard was founded in 1995 as a wholly owned, independently operated investment management subsidiary of Wells Fargo & Company. Headquartered in Minneapolis, we focus exclusively on providing fixed income and stable value management services to institutional investors.

We currently manage investment portfolios for over 240 institutional clients including corporate retirement/benefit plans, operating funds, insurance reserves, foundations and endowments, healthcare funds, Taft Hartley plans and public entities.

Our experienced team works closely with each of our clients to customize solutions for their investment needs with our conservative approach to money management. Since our firm’s inception, we have been committed to delivering what it is we say we’ll deliver: consistent investment performance and exceptional client service.

PRIMARY MARKET(S) SERVED

Micro (<$1 million) Small ($1 - $10 million), Mid ($10 - $100 million)

# OF PLANS SERVED BY TYPE

As of 06/30/16

401(k): 9,364 Money purchase: 30 457: 168 Defined benefit: 2 Other: 88

TOTAL AUM ($MM)

As of 6/30/16: $88,809.98 MM

As of 12/31/15: $85,384.23 MM

As of 6/30/15: $84,384.23 MM

TOTAL DCIO ($MM)

As of 6/30/16: $78,471.84

As of 12/31/15: $75,993.21

As of 6/30/15: $74,585.91

TOP FUNDS BY DC ASSETS

1. Wells Fargo Stable Return Fund: $30,007.49 MM

2. Managed Income Fund: $3,224.94 MM

ADVISOR SUPPORT SERVICES

Compliance support, plan benchmarking, training for DC plan sales/ service, investment committee meetings, marketing materials, participant fact sheets

GOLDMAN SACHS

NEW YORK, NY

KEY CONTACTS

David Solomon, (212) 9022409, David.A.Solomon@gs.com

WEBSITE GoldmanSachs.com

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 - $250 million), Mega (>$250 million)

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $79,836 MM

As of 12/31/15: $79,944 MM

As of 6/30/15: $79,852 MM

DCIO ASSETS BREAKDOWN (%)

Mutual funds: 19%

Collective trusts: 2% Separate accounts: 12% Stable value 65% Money market 2%

TOP 5 FUNDS BY DC ASSETS

1. Stable Value: $51,713 MM

2. GS Mid Cap Value Fund: $4,549 MM

3. GS Small Cap Value Fund: $4,529 MM

4. GS Growth Opportunities Fund: $1,932 MM

5. US Short Duration Fixed Income: $1,931 MM

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisers

NO. OF EXTERNAL WHOLESALERS (DC/Retail):8/0

KEY CONTACTS

Michael Miller, (727) 204-7825, michael.d.miller2@jpmorgan.com Christopher Daly, (508) 717-5751, Christopher.g.daley@jpmorgan.com

WEBSITE JPMorgan.com/Retirement

FIRM PROFILE

Our mission is to be our clients’ premier partner in helping individuals achieve a successful retirement. We believe in consultative relationships that approach client challenges and goals with an integrated perspective and unique understanding of the interplay between investments, plan design, administration and communications. We offer our a proprietary target date fund suite along with a broad DC investment suite that seeks to deliver better investment outcomes by accessing the investment insights, fiduciary culture and intellectual capital of J.P. Morgan Asset Management

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 - $250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $168,031 MM

As of 12/31/15: $137,058 MM

As of 6/30/15: $127,731 MM

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $134,778 MM

As of 12/31/15: $117,399 MM

As of 6/30/15: $105,347 MM

JANUS CAPITAL GROUP

KEY CONTACTS

Kevin Neuhart, (303) 336-7928, kevin.neuhart@janus.com Ann Bayles, (303) 394-7620, ann.bayles@janus.com

WEBSITE Janus.com/advisor

FIRM PROFILE

Since 1969, Janus Capital Group has stayed true to our mission: deliver better client outcomes through actively managed investment solutions. Today, we offer a broad range of fixed income, equity, alternative and multi-asset strategies managed by Janus, INTECH and Perkins, as well as a suite of exchange-traded products.

Through expertise in security selection, portfolio construction and asset allocation, we help investors meet their goals of growth, volatility management, uncorrelated returns and income.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 - $250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $190.9 MM

As of 12/31/15: $189.1 MM

As of 6/30/15: $189.5 MM

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $23,442 MM

As of 12/31/15: $21,076 MM

As of 6/30/15: $23,385 MM

ADVISOR SUPPORT SERVICES

JOHN HANCOCK INVESTMENTS MANNING & NAPIER ADVISORS, LLC

BOSTON, MA FAIRPORT, NY

KEY CONTACTS

Aaron Esker, (617) 663-4281, aesker@jhancock.com

Gene Huxhold, (847) 224-9862, gene_huxhold@jhancock.com

WEBSITE JHinvestments.com

FIRM PROFILE

John Hancock has helped individuals and institutions build and protect wealth since 1862. Today, we are one of the strongest and mostrecognized financial brands. We serve investors globally through a unique multimanager approach: We search the world to find proven portfolio teams with specialized expertise for every strategy we offer, then we apply robust investment oversight to ensure they continue to meet our uncompromising standards and serve the best interests of our shareholders. Our approach to asset management has led to a diverse set of investments deeply rooted in investor needs, along with strong risk-adjusted returns across asset classes.

PRIMARY MARKET(S) SERVED

Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 - $250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $84,858

As of 12/31/15: $83,515 As of 6/30/15: $79,976

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $10,500

As of 12/31/15: $10,400

As of 6/30/15: $10,000

ASSET ALLOCATION FUNDS

KEY CONTACTS

Shelby George, (585) 325-6880, sgeorge@manning-napier.com

WEBSITE Manning-Napier.com

FIRM PROFILE

With more than 45 years of experience, Manning & Napier and its affiliates provide equity, non-U.S. equity, fixed income, multi-asset class, multiple manager, and alternative investment solutions. Simply stated, our mission is to help our clients meet their investment goals. Manning & Napier provides asset management services for corporate pensions, 401(k)/participant choice plans, profit sharing plans, Taft-Hartley accounts, endowments, municipal retirement plans, corporate taxable and personal portfolios. Each portfolio under the full discretion of Manning & Napier is confidentially managed according to specific client investment objectives.

PRIMARY MARKET(S) SERVED

Mid ($10 - $100 million), Large ($100 - $250 million) # OF PLANS SERVED BY TYPE

As of 06/30/16 401(k): 159 403(b): 1 Defined Benefit 157 Cash Balance 86 TOTAL AUM ($MM)

As of 6/30/16: $35,716

As of 12/31/15: $35,442 As of 6/30/15: $43,106 TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $10,953

As of 12/31/15: $11,038

As of 6/30/15: $12,232

KEY CONTACTS

Paul Webb, (617) 695-4433, PWebb@massmutual.com

John Hipsher, (860) 539-8813, JHipsher@massmutual.com Rob Olszewski, (857) 753-9872, ROlszewski@massmutual.com

WEBSITE MassMutualFunds.com

FIRM PROFILE

Multi-managed approach with specialized portfolio management by some of the best managers from across the industry. Managers are acknowledged experts in their investment styles. We offer unique products and manager combinations including award-winning funds and strategies you can’t get anywhere else. The MassMutual Funds are advised by MML Investment Advisers, LLC and sponsored by Massachusetts Mutual Life Insurance Company — a mutual insurance company with a 160-year history of service excellence and financial strength ratings among the highest for any company. MassMutual is one of the top 50 asset managers in the world (P& I, 2016), thanks to the more than $600 billion in assets managed by its various asset management affiliates. In keeping with our heritage, MML Investment Advisers, LLC executes a disciplined long-term growth strategy rather than a short-term approach.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 - $250 million)

TOTAL AUM ($MM)

As of 6/30/16: $50,400 MM

As of 12/31/15: $49,650 MM

As of 6/30/15: $50,190 MM TOTAL

As of 6/30/16: $14,500 MM

As of 12/31/15: $13,400 MM

As of 6/30/15: $13,300 MM

MFS INVESTMENT MANAGEMENT

BOSTON, MA

KEY CONTACTS

Ryan Mullen, (617) 954-6924, rmullen@mfs.com

Todd Leszcynski, (617) 954-7433, TLeszczynski@MFS.com

WEBSITE MFS.com

FIRM PROFILE

Massachusetts Financial Services Company, commonly known as MFS Investment Management or MFS, has a history of money management dating back to 1924, when it created the first open-end US mutual fund, Massachusetts Investors Trust (MIT). Along with its predecessor organizations, MFS has been registered as an investment advisor under the Investment Advisers Act of 1940 (the Advisers Act) since 1969. MFS began managing its first tax-exempt account in 1970 and subsequently formed a separate subsidiary, MFS Institutional Advisors, Inc., which registered as an investment advisor under the Advisers Act in 1994. MFS is a majority-owned subsidiary of Sun Life of Canada (US) Financial Services Holdings, Inc., which in turn is an indirect majority owned subsidiary of Sun Life Financial, Inc. (a diversified financial services organization). MFS has been a subsidiary of Sun Life since 1982. While MFS operates with considerable autonomy, this partnership provides significant resources as we continue to expand our global research presence.

PRIMARY MARKET(S) SERVED

Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 - $250 million), Mega (>$250 million) TOTAL AUM ($MM)

As of 6/30/16: $424 B

As of 12/31/15: $412 B

As of 6/30/15: $439 B TOTAL

As of 6/30/16: $53.5 B

As of 12/31/15: $50.2 B

As of 6/30/15: $54 B

ADVISOR SUPPORT SERVICES

MORLEY FINANCIAL SERVICES, INC.

PORTLAND, OR

KEY CONTACTS

Bill Gardner, (503) 484-9313, Gardner.Bill.F@morley.com Jim Pondel, (312) 541-4077, Pondel.Jim@morley.com Brett Okamoto,, (503) 484-9360, Okamoto.Brett@morley.com

WEBSITE Morley.com

FIRM PROFILE

Morley Financial Services, Inc. was founded in 1982 and through the years has remained at the forefront of the stable value industry by excelling at the essentials of stable value management while developing innovative new products and investment strategies to enhance client portfolios. With over $17 billion in assets under management as of 6/30/2016, Morley manages assets for a variety of organizations including corporations, governmental plans, financial institutions and Taft-Hartley funds. Services include separate account management and proprietary commingled funds. Morley provides custom solutions tailored to meet the unique needs of our clients.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 - $250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $17,152 MM

As of 12/31/15: $16,696 MM

As of 6/30/15: $16,750 MM

TOP FUNDS BY DC ASSETS

1. Morley stable value fund: $7.8 B

2. Principal stable value fund: $4.4 B

ADVISOR SUPPORT SERVICES

External wholesalers focused on Advisers, Compliance support, Training for DC plan sales/service, Investment committee meetings

NO. OF EXTERNAL WHOLESALERS (DC/RETAIL): 6/0

NATIXIS GLOBAL ASSET MANAGEMENT

BOSTON, MA

KEY CONTACTS

Matthew Garzone, (617) 449-2509, matthew.garzone@ngam.natixis.com

WEBSITE NGAM.Natixis.com

FIRM PROFILE

Natixis Global Asset Management ($875.4 billion)1 is a multi-affiliate organization that offers a single point of access to more than 20 specialized investment firms in the Americas, Europe, and Asia. The firm ranks among the world’s largest asset managers. 2 Through its Durable Portfolio Construction (R) philosophy, the company is dedicated to providing innovative ideas on asset allocation and risk management that can help institutions, advisors and individuals address a range of modern market challenges.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 - $250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $177,509 MM

As of 12/31/15: $183,731 MM

As of 6/30/15: $188,274 MM

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $22,311 MM

As of 12/31/15: $24,324 MM

As of 6/30/15: $26,053 MM

ADVISOR SUPPORT SERVICES

External wholesalers focused on

NEUBERGER BERMAN

NEW YORK, NY

KEY CONTACTS

Michelle Rappa, (212) 476-5575, michelle.rappa@nb.com Chris Walker, (817) 881-9637, christopher.walker@nb.com

WEBSITE NB.com/retirement

FIRM PROFILE

Neuberger Berman is a private, independent, employee-controlled investment manager. Our firm manages equities, fixed income, private equity and hedge fund portfolios for global institutions, advisors and individuals. Tenured, stable and long-term in focus, our firm fosters an investment culture of fundamental research and independent thinking. Whether we are sharing thought leadership or creating customized solutions, our mission is to partner with our clients to achieve their unique investment objectives. From Defined Contribution to pension plans, multi-asset or single strategies, our singular focus on asset management reinforces our alignment with the interests of our clients.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 - $250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $246,216 MM

As of 12/31/15: $240,358 MM

As of 6/30/15: $251,396 MM

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $18,000 MM

As of 12/31/15: $17,000 MM

As of 6/30/15: $20,000 MM

DCIO ASSETS BREAKDOWN (%)

NEW YORK LIFE INVESTMENT

KEY CONTACTS

MANAGEMENT

Kevin Mansfield, Stable Value Investments, (973) 830-7983, kevin.mansfield@newyorklife.com Jeff Budd, Mainstay Investments DCIO, (201) 685-6189, jeff_budd@nylim.com

WEBSITE www.nylinvestments.com/investmentsgroup

FIRM PROFILE

New York Life Investment Management, a subsidiary of New York Life Insurance Company, has a vision to be one of the most trusted providers of investment management expertise and long-term financial security. We are renowned for our premier investment acumen and client focus, esteemed for our people, processes and performance, and valued for our integrity, consistency and strength. Stable Value Investments and Mainstay Investments DCIO are divisions within New York Life Investment Management and both share a long-term perspective, a focus on quality, and a commitment to excellence.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 - $250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $521 MM

As of 12/31/15: $536 MM

As of 6/30/15: $533 MM

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $17 MM

As of 12/31/15: $16 MM

As of 6/30/15: $18 MM

ADVISOR SUPPORT SERVICES

ADVISOR SUPPORT SERVICES

NEWPORT BEACH, CA

KEY CONTACTS

Jamie Bentley, (312) 972-1176, james.bentley@pimco.com

WEBSITE Pimco.com

FIRM PROFILE

PIMCO is a global investment management firm with a singular focus on preserving and enhancing investors’ assets. We manage investments for institutions, financial advisors and individuals. The institutions we serve include corporations, central banks, universities, endowments and foundations, and public and private pension and retirement plans. We also serve advisors and individuals set on personal financial goals, from preparing for retirement to funding higher education.

For more than four decades, our mission has been grounded in a holistic investment process designed to apply rigorous top-down and bottom-up analysis of inputs to identify investment opportunities and risks. Since our founding in Newport Beach, California, in 1971, we have grown into a team of more than 2,200 dedicated professionals, with offices in 12 countries and trading operations in North America, Europe and Asia. We have an established reputation of innovation, and we continue to evolve as a provider of investment solutions across all asset classes.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 - $250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $1.51 T

As of 12/31/15: $1.43 T

As of 6/30/15: $1.52 T

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $102 B

As of 12/31/15: $104 B

As of 6/30/15: $116 B ASSET

PRINCIPAL GLOBAL INVESTORS

DES MOINES, IA

KEY CONTACTS

Rob Logan, (515) 681-1159, logan.rob@principal.com Mitch Curtis, (515) 247-0761, curtis.mitch@principal.com

WEBSITE PrincipalGlobal.com

FIRM PROFILE

Principal was founded in 1879 with a vision toward helping people and businesses progress toward financial security. Today, Principal manages more than $604 billion of assets, which includes over $402 billion of assets managed by Principal Global Investors*. Principal Global Investors is a leading global investment firm—and an important part of the global investment management expertise of Principal.

PRIMARY MARKET(S) SERVED

Mid ($10 - $100 million), Large ($100 - $250 million), Mega (>$250 million)

#

As of 06/30/16 401(k): 7,500 403(b): 500 Money Purchase: 100 457 100 Defined Benefit: 150

TOTAL AUM ($MM)

As of 6/30/16: $402,700 MM

As of 12/31/15: $380,000 MM

As of 6/30/15: $346,200 MM

As of 6/30/16: $10,445 MM

As of 12/31/15: $9,494 MM

As of 6/30/15: $9,511 MM

BY DC ASSETS

ADVISOR SUPPORT SERVICES

External

ADVISOR SUPPORT SERVICES

PUTNAM

KEY CONTACTS

Steve McKay, (617) 760-4838, Steven_McKay@putnam.com Craig Miller, (617)760-5321, Craig_Miller@putnam.com

WEBSITE Putnam.com/DCIO

FIRM PROFILE

With more than 30 years of experience working with defined contribution plan sponsors, we have insight on the products, support, and service you need to help participants invest for their futures. We offer:

• A dedicated team of experienced DCIO professionals

• An array of investment-only product solutions

• Relationships with all major DC record-keeper platforms

• Industry-leading service, accessibility, and market research

PRIMARY MARKET(S) SERVED

Micro (< $1 million),Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 - $250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $147,652.44

As of 12/31/15: $148,489.19

As of 6/30/15: $156,332.45

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $16,381.99

As of 12/31/15: $15,386.71 As of 6/30/15: $15,218.11

DCIO ASSETS BREAKDOWN (%)

ADVISOR SUPPORT SERVICES

External

“Social Selling” Seminar (Plan Prospecting), advanced target date research and risk analysis.

KEY CONTACTS

Scott Goldberg, (404) 710.9715, scott.goldberg@ridgeworth.com

Sharon Mossman, (816) 745.0491, sharon.mossman@ridgeworth.com

Bob Kuberski, (610) 529.8222,bob.kuberski@ridgeworth.com

WEBSITE RidgeWorth.com

FIRM PROFILE

RidgeWorth Investments is a global investment management firm that offers investors access to a select group of boutique investment managers and subadvisers.

• Investment adviser registered with the SEC since 1985.

• $40.1 billion in assets under management as of 9/30/16.

• Boutiques and subadvisers offer 18 primary equity and fixed income investment styles.

• Boutiques and subadvisers have well-defined, proven approaches and unwavering commitment to exceptional performance.

• RidgeWorth wholly owns three boutiques: Ceredex Value Advisors LLC, Seix Investment Advisors LLC and Silvant Capital Management LLC and holds a minority ownership in Zevenbergen Capital Investments LLC. Capital Innovations, LLC and WCM Investment Management serve as unaffiliated subadvisers to the RidgeWorth Funds.

• 76 investment professionals; 43 CFA Charterholders, 4 CPAs and 45 MBAs within the network.

• Portfolio Managers average 27 years of investment experience. RidgeWorth has a strong legacy of delivering investment solutions that help clients achieve success that extends back more than three decades.

ADVISOR SUPPORT SERVICES

TIAA

KEY CONTACTS

Brendan McCarthy, (617) 308-8309, brendan.mccarthy@nuveen.com Rob Wood, (704) 988-3105, robert.wood@nuveen.com

WEBSITE nuveen.com/retirement

FIRM PROFILE

TIAA Global Asset Management provides innovative investment strategies through TIAA and more than a dozen affiliated registered investment advisers. Nuveen serves individual investors and their advisors as an operating division of TIAA Global Asset Management. Collectively managing $915 billion in assets as of 9/30/2016, our expertise spans both traditional and alternative asset classes. To help our clients build bestin-class retirement plan programs, our team capitalizes on TIAA’s nearly 100-year heritage in retirement planning and Nuveen’s 118-year history of industry leadership. Our combined DCIO team offers investment solutions, including target date funds; field-tested business development tools; and ongoing, consultative support.

PRIMARY MARKET(S) SERVED

Mid ($10 - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 12/31/15: $414 B

As of 6/30/16: $19,502 MM

As of 12/31/15: $17,974 MM As of 6/30/15: $16,767 MM

KEY CONTACTS

Stephen Dopp, (201) 827-2311, sdopp@lordabbett.com

Bret Contreras, (201) 827-2409, bcontreras@lordabbett.com

WEBSITE LordAbbett.com

FIRM PROFILE

As a firm that is investment-led and investor-focused, Lord Abbett is dedicated to delivering superior long-term investment performance and a client experience that exceeds expectations.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1-$10 million), Mid ($10-$100 million), Large ($100-$250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $130,298 MM

As of 12/31/15: $125,488 MM

As of 6/30/15: $136,078 MM

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $6,816 MM

As of 12/31/15: $7,101 MM

As of 6/30/15: $7,718 MM

DCIO ASSETS BREAKDOWN (%)

Mutual funds: 100%

ASSET ALLOCATION FUNDS

Four Multi Asset Portfolios, with exposure to mainly credit sensitive fixed income and both domestic and international equities.

TOP 5 FUNDS BY DC ASSETS

RUSSELL INVESTMENTS

SEATTLE, WA

KEY CONTACTS

Andrew Scherer, (630) 542-7833 ascherer@russellinvestments.com Brandy Swift, (206) 505-2087 bswift@russellinvestments.com

WEBSITE russellinvestments.com

FIRM PROFILE

We're a global asset manager whose purpose is to improve financial security for people In business since 1936, our expertise and capabilities have been recognized by some of the world’s most reputable, industry experts. Through partnering with our clients, we offer outcome-oriented portfolios to help individuals achieve their goals

PRIMARY MARKET(S) SERVED

Micro (<$1 million) Small ($1-$10 million), Mid ($10-$100 million), Large ($100-$250 million), Mega (>$250 million)

TOTAL AUM ($MM)

As of 6/30/16: $244,000 MM

As of 12/31/15: $241,800 MM

As of 6/30/15: $265,800 MM

TOTAL DCIO ASSETS ($MM)

As of 6/30/16: $8,300 MM

As of 12/31/15: $8,200 MM As of 6/30/15: $8,900 MM

DCIO ASSET BREAKDOWN* (%)

Mutual funds: 20% Collective trusts: 80%

ASSET ALLOCATION FUNDS

Russell LifePoints Funds Target Date Target Portfolio Series

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisers, External wholesalers focused on institutional, Target-date evaluation tools, Training for DC plan sales/service, investment committee meetings

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors and institutional, plan benchmarking, training for DC plan sales/service, investment committee meetings, insights & intelligence - client prospecting tool for advisors

NO. OF EXTERNAL WHOLESALERS

(DC/Retail): 3/65

NO. OF EXTERNAL WHOLESALERS: (DC/Retail): 7/33

USAA INVESTMENT

COMPANY

MANAGEMENT

SAN ANTONIO, TEXAS

KEY CONTACTS

Brian Bouchard, (401) 230-7982, Brian.Bouchard@USAA.com WEBSITE Advisorusaa.com

FIRM PROFILE

With 45 years of experience, our disciplined approach to managing money stems from our military values of service, loyalty, honesty and integrity.

PRIMARY MARKET(S) SERVED

Small ($1-$10 million), Mid ($10-$100 million), Large ($100-$250 million), Mega (>$250 million)

DCIO ASSET BREAKDOWN (BY %)

Mutual funds: 100%

ASSET ALLOCATION FUNDS

USAA Cornerstone Aggressive Fund

USAA Cornerstone Conservative Fund USAA Cornerstone Equity Fund

USAA Cornerstone Moderate Fund

USAA Cornerstone Moderately Aggressive Fund

USAA Moderately Conservative Fund

USAA Target Retirement Income Fund

USAA Target Retirement 2020, 2030, 2040, 2050, 2060 Funds

ADVISOR/SUPPORT SERVICES

External wholesalers focused on advisers, External wholesalers focused on institutional, Investment committee meetings

NO. OF EXTERNAL WHOLESALERS: (DC/Retail): 2/1

TOP 5 FUNDS BY DC ASSETS

USAA Income Stock Fund (UIISX)

USAA Short-Term Bond Fund (UISBX)

USAA Intermediate Term Bond Fund (UIITX)

USAA High Income Fund (UIHIX)

USAA NASDAQ 100 (USNQX)

THERECORDKEEPERS

Recordkeepers are perhaps in the strongest position of all providers, since they control the technology and, perphaps more importantly, the data that runs DC plans. However, consolidation continues to affect this segment of the market, leaving more power in the hands of fewer recordkeepers.

There is perhaps no partner component more integral to a smooth plan operation those responsible for the establishment and maintenance of individual participant and plan records. And yet, arguably there is no partner component more pressed by increasing costs and an on-going need to upgrade and update their operations. This at a time when heightened scrutiny of long-standing practices such as revenue-sharing are placing even more pressure on income streams.

Not helping matters? That even the industry’s most ardent champions routinely refer to these crucial services as a “commodity.”

Consolidation has worked to the advantage of some providers, who have managed to broaden their target markets with key acquisitions. In some cases that has left a vacuum for those who now seek to specialize in particular markets, notably those serving smaller plans. And while the Labor Department’s fiduciary regulation primarily targeted advisor compensation, there’s little question that, like most regulations, it will also have an impact here.

Consolidation remains the order of the day though for an industry that has ostensibly been roiled by consolidation of one form or another for at least 30 years now a remarkably robust, though shrinking, roster of players remains, as attested by the pages that follow.

That said, things are quieter on the consolidation front this year, with only about a half dozen deals in 2016, and none the kind of “game changers” that dominated the headlines a year ago.

Does that mean we’re done with recordkeeping consolidation? Hardly. But as you can see on the pages that follow, there is still a robust number of options from which to choose.

— Nevin Adams

23,000 89,000 ü ü ü ü ü ü ü ü ü ü 154 73 268 163 ü ü ü ü ü ü ü ü ü ü 15,685 18,873 386,567 175,223 ü ü ü ü ü ü ü ü ü ü ü ü 89 ü ü ü ü ü ü ü ü ü ü ü ü 25 ü ü ü ü ü ü ü ü ü ü 6,102 1,395 2,142 2,285 65,522 ü ü ü ü ü ü ü 6,065 5,889 ü ü ü ü ü ü ü ü ü ü ü ü 36,649 166,133 269,321 432,014 ü ü ü ü ü ü ü ü ü ü ü 1,200 80 ü ü ü ü ü ü ü ü ü ü 500 250 250 ü ü ü ü ü ü ü ü ü ü 2,600 900 30,000 30,000 150,000 ü ü ü ü ü ü ü ü ü ü ü 5,500 1,000 38,000 120 4,000 ü ü ü ü ü ü ü ü ü ü 700 100 15,000 75 2,260 ü ü ü ü ü ü ü ü ü ü 100 ü ü ü ü ü ü ü ü 1,514,365 76,293 5,379 1,173,213 ü ü ü ü ü ü ü ü ü ü ü ü 228 282 1,111 ü ü ü ü ü ü ü ü ü 162,379 179,897 3,900,000 2,500,000 ü ü ü ü ü ü ü ü ü ü ü 111 7,802 ü ü ü ü ü ü ü ü 5,565 3,437 155,536 422 462,605 ü ü ü ü ü ü ü ü ü ü ü 1,500 25 675 1,550 2,175 ü ü ü ü ü ü ü ü ü 84,116 15,778 56,518 82,206 ü ü ü ü ü ü ü ü ü ü ü ü 261,988 3,612 345,000 250 146,900 ü ü ü ü ü ü ü ü ü ü ü ü

1,138,188 ü ü ü ü ü ü ü 2,052 73,397 ü ü ü ü ü ü ü ü ü ü ü 1,373,433 134 209,719 ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü 66,375 861 37,405 2,186 87,925 ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü 1,000 ü ü ü ü ü ü ü ü 437 900 49,054 1,139 ü ü ü ü ü ü ü 24,152 59,696 502,895 39,646 256,260 ü ü ü ü ü ü ü ü ü ü ü ü 297,656 79,967 539,609 92,947 ü ü ü ü ü ü ü ü ü ü ü ü 260 65 310 366 ü ü ü ü ü ü 951 12,599 38,363 ü ü ü ü ü ü ü ü ü ü ü ü 149 690 1,614 ü ü ü ü ü ü ü ü 95,033 9,550 29,800 ü ü ü ü ü ü ü ü ü ü ü 2,432 318 23,120 1,160 6,080 ü ü ü ü ü ü ü ü ü 61,745 11,462 352,508 109,000 848,315 ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü 665 543 ü ü ü ü ü ü ü 234,141 7,102 ü ü ü ü ü ü ü ü ü ü ü 1,255,012 17,633 74,563 ü ü ü ü ü ü ü ü ü ü ü ü

AMERICAN TRUST RETIREMENT

895 MAIN ST DUBUQUE, IOWA 52001 americantrustretirement.com

KEY CONTACTS

Ryan Bryte, (563) 589-7136, rbryte@americantrust.com

Zach Mahoney, (563) 589-7169 zmahoney@americantrust.com

Tim Reynolds, (563)589-7138 treynolds@americantrust.com

BUSINESS METRICS

PRIMARY MARKET(S) SERVED

Micro (< $1 million)

Small ($1 million - $10 million)

Mid ($10 million - $100 million)

NO. OF PLANS SERVED

BY TYPE

As of 06/30/16

American Trust Retirement is one of the highest rated providers of retirement plans for small to mid sized businesses in the United States. As part of a 105 year old, family owned institution, American Trust Retirement focuses on working with employers to build plans that meet their needs. Our bundled approach offers dedicated relationship management to every plan and industry leading technology through our participant AT Blueprint approach. We specialize in complex plan design that helps business owners focus on tax efficient contribution strategies. As litigation continues to increase in our industry, our discretionary trustee and 3(38) investment management allow advisors and employers to reduce their fiduciary liability. Since 2008, American Trust has received 200 Best in Class Awards from PLANSPONSOR Magazine.

401(k): 403(b):

Money purchase: 457:

NO. OF PARTICIPANTS

BY TYPE

As of 06/30/16

401(k): 403(b): Money purchase: 457:

888 15 2 5 34,000 750 80 25

SERVED

Number of external wholesalers focused on advisors

Number of external wholesalers focused on institutional

Number of internal wholesalers focused on advisors

Number of internal wholesalers focused on institutional

• Compliance Support

• Plan Benchmarking

• Target-date Evaluation Tools

• Training for DC Plan Sales/Service

• Investment Committee Meetings

• Territory Sales support

• Retirement Income Estimates/Projections

• Rollover Services

• Call Center Support

• Smartphone access to participant balances

• Smartphone transaction access for participants

• ATArchitect participant account management

• EBal participant notification services

• Advisor support of enrollment and education

• Online enrollment capabilities

• Discretionary trustee standard

ASSET ALLOCATION FUNDS

• Risk based allocation managers available • 3rd party traditional money managers • 3rd party tactical money managers

• Participant specific tactical management

PLANS BY CHANNEL

Direct sold: 0

Advisor sold: 910

PLATFORM(S) USED

Relius

• 3(38) Investment Management

• Declining, tiered pricing for all plans

• Cash balance plans

The Next Generation in Retirement Readiness...

Introducing

As new regulations continue to reshape fiduciary responsibilities, American Trust Retirement knows that advisors are still expected to deliver dynamic retirement strategies. Every participant has different individual goals, risk tolerances, and life stages. ATArchitect is a next generation solution that helps you deliver turnkey, personalized investing to every participant in every situation.

To learn more about ATArchitect, go to www.americantrustretirement.com or contact us at 800.548.2993.

CUNA MUTUAL RETIREMENT SOLUTIONS

BUSINESS METRICS

5910 MINERAL POINT ROAD MADISON, WI 53705 cunamutualrs.com

KEY CONTACTS

Sales: 800-491-7859, intermediarysolutions@cunamutual.com Service: Jennifer Norr, (608)665-7856 jennifer.norr@cunamutual.com

At CUNA Mutual Retirement Solutions®, it is our mission to recognize the powerful human story of the service and accomplishments of hard working Americans, and help them meet their challenge in achieving a secure retirement. Our firm has over 50 years of experience in providing services for defined contribution and defined benefit and nonqualified retirement plans

CUNA Mutual Group is a Fortune 600 company, maintaining an “A” rating “Excellent” from A.M. Best rating agency for over 30 years.

PRIMARY MARKET(S) SERVED

Micro (< $1 million)

Small ($1 million - $10 million)

Mid ($10 million - $100 million)

Large ($100 million - $250 million)

NO. OF PLANS SERVED

BY TYPE

As of 06/30/16

401(k): 403(b):

Money purchase: 457: NQDC: Defined benefit: Cash Balance: Other:

Number of external wholesalers focused on advisors

Number of external wholesalers focused on institutional

Number of internal wholesalers focused on advisors

Number of internal wholesalers focused on institutional

• Compliance support

• Plan benchmarking

• Target-date evaluation tools

• Training for DC plan sales/service

• Investment committee meetings

• Advisor training - practice development and management: Retirement Advisor Institute

• Retirement income estimates/projections

• In-plan lifetime income options

• Rollover services

• Call center support

• Smartphone access to participant balances

• Smartphone transaction access for participants

• Retirement planning app

• Investment guidance center

As of 06/30/16

401(k): 403(b): Money purchase: 457: NQDC: Defined benefit: Cash Balance: Other:

5,000 500 200 1,100 400 700 10 150 261,000 35,000 6,000 5,500 1,000 38,000 120 4,000

NO. OF PARTICIPANTS SERVED BY TYPE

PLAN SPONSOR SUPPORT SERVICES

• Plan relationship and operation consultation

• Plan health reporting and annual plan review

• Plan benchmarking on plan sponsor website

• Plan conversion and document services

• Compliance testing, reporting, legislative updates

ASSET ALLOCATION FUNDS

• Open architecture, TDF-outside

• TDRisk-outside; custom glide path

PLANS BY CHANNEL

Direct sold: 0%

Advisor sold: 100%

PLATFORM(S) USED

Proprietary recordkeeping platforms

350K

Participants served

• Plan audit support

• Fiduciary support 3(21) and 3(38)

• Plan fiduciary education

• Participant education program development

• Education program implementation

• Participant reporting

• Participant distribution, loans, etc. support

• Participant income replacement tools

OTHER SERVICES/CAPABILITIES AVAILABLE

• ClearDirection suite of program solutions offering full open architecture to turn-key plan management.

• Levelized advisor compensation and revenue sharing rebate solutions

Your partner in retirement.

At CUNA Mutual Retirement Solutions, our focus is on you and your success. We partner with you to understand your unique goals, challenges and opportunities — and introduce the right resources to e ectively improve your results.

Together we can make retirement more accessible.

CUNA Mutual Retirement Solutions is a division of CUNA Mutual Group and the marketing name for CPI Quali ed Plan Consultants, Inc., a CUNA Mutual Group member company. CUNA Mutual Group is the marketing name for CUNA Mutual Holding Company, a mutual insurance holding company, its subsidiaries and a liates. Annuity insurance products are issued by CMFG Life Insurance Company, located in Madison, Wisconsin. Each insurer is solely responsible for the nancial obligations under the policies and contracts it issues. Securities distributed by CUNA Brokerage Services, Inc. (CBSI), member FINRA/SIPC, a registered broker/dealer, 2000 Heritage Way, Waverly, Iowa 50677, toll-free 866.512.6109. Non-deposit investment and insurance products are not federally insured, involve investment risk, may lose value, and are not obligations of or guaranteed by the nancial institution. Representatives o er retirement and investment education but do not provide investment, legal or tax advice. Participants are encouraged to consult their own advisors.

CMRS-1555923.1-0716-0818 © CUNA Mutual Retirement Solutions, 2016 All Rights Reserved.

JOHN HANC OCK RETIREMENT PLAN SER VICES

REC ORDKEEPE R

BUSINESS METRICS

601 CONGRESS ST BOSTON, MA 02210

jhrps.com

KEY CONTACTS

To find your local wholesaler, visit www buildyour401kbusiness.com

John Hancock has more than 150 years of financial services experience and is a member of the Manulife Financial Group of Companies.

John Hancock Retirement Plan Services (JHRPS) has never taken a “one size fits all” approach to servicing our clients. We know that no two participants are alike; they all have unique retirement goals and challenges. That’s why we offer a diverse set of products, service options and programs that range from proven leadership and expertise in the TPA-focused small plan market, to solutions for very large plans including a total retirement outsourcing solution. Let us help your clients build a better retirement plan program—one that puts participants first and helps them achieve their retirement goals

PRIMARY MARKET(S) SERVED

Micro (<$1 million)

Small ($1 million - $10 million)

Mid ($10 million - $100 million) Large ($100 million - $250 million) Mega (>$250 million)

NO. OF PLANS SERVED

BY TYPE

As of 06/30/16

401(k): 403(b): Money purchase: 457: NQDC: Defined benefit: Cash Balance: Other:

• Compliance support

• Plan benchmarking

• Target-date evaluation tools

• Training for DC plan sales/service

• Investment committee meetings

56,654

• Prospecting and value-added tools

PARTICIPANT SUPPORT SERVICES

• Retirement income estimates/projections

• In-plan lifetime income options

• Rollover services

• Call center support

• Smartphone access to participant balances

• Smartphone transaction access for participants

• Managed account solution (OnTarget)

• Interactive education platform

PLAN SPONSOR SUPPORT SERVICES

• Plan design

As of 06/30/16

401(k): 403(b): Money purchase: 457: NQDC: Defined benefit: Cash Balance: Other:

44,410 1 405 165 71 451 500 10,651 2,102,348 2,406 11,425 5,565 3,437 155,536 422 462,605

NO. OF PARTICIPANTS SERVED BY TYPE

2.74M

Participants served

• Personalized auto-enrollment rates (Dynamic Enrollment)

• ERISA reporting (internal or through TPA partner)

• Total retirement outsourcing

• Data analytics reporting

• 360 payroll integration

• Eligibility tracking

• Creation and distribution of annual required notices

• Acknowledgement of fiduciary status in writing

• Dedicated service team

OTHER SERVICES/CAPABILITIES AVAILABLE

ASSET ALLOCATION FUNDS

• All available through open architecture

PLANS BY CHANNEL

Direct sold: 0 Advisor sold: 56,654 PLATFORM(S) USED

Proprietary recordkeeping platforms

Taft-Hartley plans

b )

PAi REC ORDKEEPE R

BUSINESS METRICS

1300 ENTERPRISE DRIVE

DE PERE, WI 54115

PAi.com

KEY CONTACTS

Marketing Manager

Cheryl Bikowski, 800-236-7400 ext. 3368 cdbikowski@pai.com 1-800-236-7400 option 1

For more than 30 years, PAi has helped people successfully save for retirement by providing 401(k) recordkeeping and administration. Whether you are a retirement industry leader, consumer brand, worker, business owner, advocacy group or government official, you’ll find PAi brings the same vision and values to all of its partners. The retirement challenge our country faces today is larger than any one organization can manage alone. Through strong partnerships we can empower a strong savings society. By working together we can build a world where workers are able to own their retirement readiness.

PAi helps to build that world by offering turnkey participant outcome based solutions to small businesses nationwide.

PRIMARY MARKET(S) SERVED

Micro (<$1 million) Small ($1 - 10 million)

NO. OF PLANS SERVED BY TYPE

As of 06/30/16

401(k): 13,177

NO. OF PARTICIPANTS SERVED BY TYPE

As of 06/30/16 98,909 401(k):

ASSET ALLOCATION FUNDS

• Any asset allocation available

• Model portfolios

PLANS BY CHANNEL

Direct sold: 0 Advisor sold: 100

PLATFORM(S) USED

Proprietary recordkeeping platforms

ADVISOR SUPPORT SERVICES

• Compliance support

• Plan benchmarking

• Integrated data analytics

• Years of retirement calculations

• Event driven data alerts.

PARTICIPANT SUPPORT SERVICES

• Retirement income estimates/projections

• Rollover services

• Call center support

• Facebook page

• Integrated data analytics

• Years of retirement calculations

• Even driven data alerts.

PLAN SPONSOR SUPPORT SERVICES

• Plan installation

• Recordkeeping & administration

• 3(38) Investment fiduciary services

BUSINESS METRICS

1150 S OLIVE STREET T-06-12 LOS ANGELES, CA 90015 transamerica.com

KEY CONTACTS

Jason Crane, 1-800-359-9544, jason.crane@transamerica.com Mikey Gannon, 1-800-942-7305 mikey.gannon@transamerica.com

Transamerica is one of the nation’s leading providers of retirement plan services. By focusing on the retirement industry for over half a century, we’ve built an experienced team and a proven expertise in all plan types. We partner closely with our clients and their advisors to tailor our services to meet their specific needs. Transamerica Retirement Solutions helps people save and invest wisely to live the life they want. We help plan sponsors minimize their administrative and fiduciary responsibilities - while maximizing the value to your organization of offering an attractive benefits plan. Transamerica serves national and regional clients through an integrated network of offices. Localized client service is managed throughout our regional offices all across the country.

PRIMARY MARKET(S) SERVED

Micro (< $1 million)

Small ($1 million - $10 million)

Mid ($10 million - $100 million) Large ($100 million - $250 million) Mega (>$250 million)

NO. OF PLANS SERVED BY TYPE

As of 12/31/15

401(k): 403(b): Money purchase: 457: NQDC: Defined Benefit: Cash Balance: Other:

23,082 895 114 446 189 381 14 919

26,040

Number of external wholesalers focused on advisors

Number of external wholesalers focused on institutional

Number of internal wholesalers focused on advisors

Number of internal wholesalers focused on institutional

• Compliance Support

• Plan Benchmarking

• Target-date Evaluation Tools

• Training for DC Plan Sales/Service

• Investment Committee Meetings

• Retirement Income Estimates/Projections

• Rollover Services

• Call Center Support

• Smartphone Access to Participant Balances

• Smartphone transaction access for participants

• Retirement income estimates/projections

• Rollover services

• Call center support

• Mobile access to participant balances

• Mobile transaction access for participants

NO.

OF PARTICIPANTS SERVED BY TYPE

As of 12/31/15

401(k): 403(b): Money purchase: 457: NQDC: Defined Benefit: Cash Balance: Other:

2,647,177 1,139,471 45,765 61,745 11,465 352,508 109,000 848,315

ASSET ALLOCATION FUNDS

• 256

5.215M

Participants served

PLAN SPONSOR SUPPORT SERVICES

Bundled:

• Plan-level recordkeeping and administrative services

• Compliance guidance and regulatory support

• Participant-level transaction processing

• Participant communications and education services

Unbundled:

• Plan-level recordkeeping and administrative services

• Participant-level transaction processing

• Participant communications and education services

PASS:

• PayStart

(For Emerging Markets NAV Open Architecture)

PLATFORM(S) USED

NSCC

• Document Center

• Total Plan Management

14599-FA_AD (11/16)

clear view of retirement, improving outcomes

Rainy Cloudy Partly Sunny Sunny

We keep participants on course toward a funded retirement. What makes our approach to retirement readiness so effective is that it’s so personalized. At any time, participants can check their own retirement forecast to get an idea of whether they’re on course toward a funded retirement and, if not, what steps they can take to improve it. Think how much more engaged your clients’ participants would be with this kind of actionable guidance. To learn more, call 888-401-5826 or visit trsretire.com.

Securities offered through Transamerica Investors Securities Corporation (TISC), 440 Mamaroneck Avenue, Harrison, NY 10528. Transamerica Retirement Solutions and TISC are affiliated companies.

© 2016 Transamerica Retirement Solutions, LLC

ADP RETIREMENT SERVICES

FLORHAM PARK, NJ

KEY CONTACTS

Sales: (844) ADP-ELITE Service: (800) 432-401k

WEBSITE ADP.com/401k

FIRM PROFILE

ADP Retirement Services provides comprehensive recordkeeping services to meet the needs of small-, mid- and large-sized companies. Our breadth of service includes support for a wide range of qualified and nonqualifi ed plan types and options. The quality and experience of our dedicated service teams, plus our proven technological advances, provide an exceptional value to our clients. Our associates possess a deep knowledge about the complexities, regulations and compliance requirements that apply to deferred compensation and retirement plans to deliver a client experience that makes plan administration easy.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 37,191/1,600,000

NQDC: 142/23,000 Other: 24,552/89,000

ASSET ALLOCATION FUNDS Multiple

PLANS BY CHANNEL

Platforms Used: Sunguard

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 60

Internal wholesalers focused on advisors 12

Compliance support, plan benchmarking, target-date evaluation tools, training for DC plan sales/service, investment committee meetings

Advisor Elite Program provides several services based on advisor qualification levels:

• Sales support

• Dedicated implementation manager

• Dedicated client service manager

• Relationship manager

• Dedicated retirement counselor

Visit napa-net.org for a list of plan sponsor and participant support services offered by ADP.

ALLIANCE BENEFIT GROUP ROCKY MOUNTAIN

SALT LAKE CITY, UT

KEY CONTACTS

Shawn Oram, (801) 486-3087 x139, shawn@abgrm.com

Fran Mulgrew, (801) 486-3087 x103, fran@abgrm.com

Jessica Wilson, (801) 486-3087 x124, jessica@abgrm.com

Jeff Zobell, (801) 486-3087 x125, jeff@abgrm.com

WEBSITE ABGRM.com

FIRM PROFILE

Founded in 1980, Alliance Benefit Group Rocky Mountain (ABGRM) is an independent Recordkeeper based in Salt Lake City, Utah with locations in Denver, Colorado and Great Falls, MT. ABGRM offers recordkeeping and TPA services for ERISA plans, health and welfare benefit plans, 3(16) fiduciary support services, and payroll services. Additionally, we offer advisory services to assist advisors with 3(21) and 3(38) fiduciary responsibility.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 862/23,189

403(b): 17/725

Money Purchase: 25/748

457: 10/154

NQDC: 5/73

Defined Benefit: 62/268 Cash Balance: 23/163

ASSET ALLOCATION FUNDS

We are an open architecture platform with no proprietary funds or fund requirements. All asset allocation funds available on the platforms we partner with may be used.

PLANS BY CHANNEL

(Direct/Advisor): 69/935

Platforms Used: Charles Schwab Trust/Broker Dealer, Fidelity, Matrix, and TD Ameritrade

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 4

External wholesalers focused on institutional 4

Internal wholesalers focused on advisors 2

Internal wholesalers focused on institutional 2

Compliance support, plan benchmarking, training for DC plan sales/service, investment committee meetings

Visit napa-net.org for a list of plan sponsor and participant support services offered by Alliance Benefit Group.

ALLIANCE BENEFIT GROUP, LLC

PEORIA, IL

KEY CONTACTS

Don Mackanos, (904) 610-4058, don.mackanos@abgnational.com sales@abgnational.com

WEBSITE ABGNational.com

FIRM PROFILE

Alliance Benefit Group (ABG), a national network of independently owned retirement plan consulting firms offering investment advisory; health and welfare consulting; actuarial and benefits administration services. One of the largest retirement plan administrators in the country, ABG provides administrative services to over 20,000 plans, 1.3 million participants with assets totaling more than $70 billion.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 12/31/15

401(k): 12,383/669,190

403(b): 676/34,462 457: 459/15,685 NQDC: 276/18,873

Defined Benefit: 2,478/386,567 Other: 3,728/175,223

PLANS BY CHANNEL

Platforms Used: Relius, SRT, Omni

ADVISOR SUPPORT SERVICES

Compliance support, plan benchmarking, target-date evaluation tools, training for DC plan sales/service, investment committee meetings

PARTICIPANT SUPPORT SERVICES

Retirement income estimates/projections, in-plan lifetime income options, rollover services, call center support, Facebook page, smartphone access to participant balances, smartphone transaction access for participants, financial wellness

AMERICAN FUNDS

LOS ANGELES, CA

KEY CONTACTS

(800) 421-9900

WEBSITE AmericanFunds.com

FIRM PROFILE

Rely on an industry-leading service provider to help your plans run smoothly and effectively. Open-Investment Architecture: Access the American Funds and over 1,000 investment choices from more than 40 other well-known managers. Competitive Pricing: Tailor pricing to your clients’ needs with a range of recordkeeping and share class options. Versatile Compensation: Select the compensation option that’s right for you and your clients’ plans.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 48,459/ 1,036,652 403(b): 740/34,800 Money purchase: 59/1,437 NQDC: 7/89

ASSET ALLOCATION FUNDS

We offer the American Funds Portfolio Series as well as the American Funds Target Date Retirement Series.

PLANS BY CHANNEL (Direct/Advisor): 0/45,638

Platforms Used: Recordkeeper Direct: American Funds and Multifund using DST TRAC system, Plan Premier: Bundled and TPA using FASCore system

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 34

External wholesalers focused on institutional 34

Internal wholesalers focused on advisors 34

Internal wholesalers focused on institutional 34

Compliance support, plan benchmarking, target-date evaluation tools, training for DC plan sales/service, investment committee meetings, quarterly online plan review reports

Visit napa-net.org for a list of plan sponsor and participant support services offered by American Funds.

ASCENSUS, INC.

DRESHER, PA

KEY CONTACTS

Anthony Bologna, VP, Sales, (215) 648-5547, anthony.bologna@ascensus.com

Karen Watt, VP, Sales, (215) 648-5187

Roberta Hess, (215) 648-1426, Roberta.Hess@ascensus.com

FIRM PROFILE

Ascensus is the largest independent retirement and college savings services provider in the United States, helping over 7 million Americans save for the future. With more than 35 years of experience, the firm partners with financial institutions to offer tailored solutions that meet the needs of financial professionals, employers, and individuals. Ascensus specializes in recordkeeping, administrative, and program management services, supporting over 47,000 retirement plans and over 3.8 million 529 college savings accounts. It also administers more than 1.5 million IRAs and health savings accounts and is home to one of the largest ERISA consulting teams in the country. For more information about Ascensus, visit www.ascensus.com.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million),

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 47,066/3,431,890

403(b): 509/95,523

Money Purchase: 151/13,569

457: 171/6,102

NQDC: 48/1,395

Defined Benefit: 242/2,142

Cash Balance: 251/2,285

Other: 2,112/65,522

ASSET ALLOCATION FUNDS

Solutions are offered with open-architecture investment capabilities tailored to the needs of institutional partners, third-party administrators, financial professionals, plan sponsors, and participants. TDF: Outside. TDRisk: Outside.

PLANS BY

/47,000+

ASPIRE FINANCIAL SERVICES TAMPA, FL

KEY CONTACTS

(866) 634-5873

Steven Shackelford, (317) 294-0358, steven.shackelford@aspireonline.com

Mark Luckinbill, (919) 279-0514, mark.luckinbill@aspireonline.com

Kristin McCarthy, (336) 269-9658, kristin.mccarthy@aspireonline.com

WEBSITE

AspireOnline.com

FIRM PROFILE

Aspire Financial Services, LLC is a leading service provider of smart retirement solutions, serving the industry since 2002 with a conflict-free, open-investment retirement planning management system supporting all plan types [401(k), 403(b), 457, IRA including Payroll Deduction, Cash Balance, Defined Benefit, Non-Qualified]. Aspire provides a best-inclass technology-enabled portfolio of pre-defined or highly customizable smart retirement solutions with private-label branding options through its proprietary technology platform and strategic partnerships. Aspire enables strong economic value and competitive advantage through a cost-effective transparent pricing structure and fully built operational model.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

# OF PLANS/PARTICIPANTS SERVED BY

As of 06/30/16

401(k): 6,330/123,142 403(b): 4,727/79,214 457: 394/6,065 Other: 2,315/163,783

ADVISOR SUPPORT SERVICES

Compliance

Visit napa-net.org for a list of plan sponsor and participant support services offered by Aspire.

Visit

WEBSITE

BANK OF AMERICA MERRILL LYNCH

PENNINGTON, NJ

KEY CONTACTS

(877) 902-8730

Large-/Mega-Market: Roger Gray, (617) 434-5410, roger.w.gray@ml.com Mid-Market: Joe Mrozek, (609) 274-7602, joe.mrozek@baml.com

WEBSITE BenefitPlans.BAML.com

FIRM PROFILE

Bank of America Merrill Lynch is committed to helping your employees improve their financial lives. It’s been our focus across our entire history, from every corner of our enterprise and through each and every connection. By broadening our view to include an employee’s entire financial picture, both in and out of plan, we believe we can help all of your employees better manage and gain control of their finances.

PRIMARY MARKET(S) SERVED

Small ($1-$10 million), Mid ($10-$100 million), Large ($100 million - $250 million), Mega (>$250 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 823/2,594,749

Money Purchase: 8/784

NQDC: 234/36,649

Defined Benefit: 47/166,133

Cash Balance: 9/269,321 Other: 245/432,014

ASSET ALLOCATION FUNDS

Bank of America Merrill Lynch offers a choice of more than 850 mutual fund and collective trust lifecycle products and target retirement date portfolios1 through our investment alliance agreements with more than 150 mutual fund families as of September 30, 2016. In addition, we offer target Date Portfolios through our GoalManager® Portfolio Rebalancing Service (the Plan Sponsor creates portfolio models based on retirement dates).

PLANS BY CHANNEL (Direct/Advisor): 161/915

Platforms Used: Defined contribution plans are serviced on our proprietary defined contribution recordkeeping platform.

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 12

External wholesalers focused on institutional 4

Internal wholesalers focused on advisors 6

Internal wholesalers focused on institutional 2

Compliance support, plan benchmarking, target date evaluation tools, training for DC plan sales/service, investment committee meetings

Visit napa-net.org for a list of plan sponsor and participant support services offered by Bank of America Merrill Lynch.

BLUESTAR

PONTE VEDRA BEACH, FL

KEY CONTACTS

Sales: Steven Kimmel, (904) 395-8296, SKimmel@BlueStarRetirement.com

WEBSITE BlueStarRetirementServices.com

FIRM PROFILE

BlueStar is a full-service integrated recordkeeper & TPA. BlueStar’s focus on retirement plan solutions began in 2008, resulting in swift growth. While BlueStar serves plans of all sizes and types, BlueStar has proven itself as a national expert in the administration of Multiple Employer Plans (MEPs) and other MEP-like structures which take advantage of existing efficiencies.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1-$10 million), Mid ($10-$100 million), Large ($100-$250 million), Mega (>$250 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 2,000/100,000 403(b): 300/10,000 457: 25/500 Defined benefit: 10/250 Cash Balance: 25/250

ASSET ALLOCATION FUNDS

BlueStar is an open-architecture recordkeeper; any funds available on the selected underlying trading platform (typically either Schwab, TD Ameritrade, or Matrix) are available.

PLANS BY CHANNEL (Direct/Advisor): 50/2,500

Platforms used: Schwab, TD Ametritrade Trust, Matrix

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 2 External wholesalers focused on institutional 2

Internal wholesalers focused on advisors 2

Internal wholesalers focused on institutional 2

Compliance support, plan benchmarking, target-date evaluation tools, training for DC plan sales/service, investment committee meetings.

PARTICIPANT SUPPORT SERVICES

Retirement income estimates/projections, rollover services, call center support, smartphone access to participant balances, smartphone transaction access for participants.

PLAN SPONSOR SUPPORT SERVICES

Complete plan administration; direct-mail plan notices fulfillment; full handling of transactions such as loans, hardships, etc.

BPAS

BPAS UTICA, NY

KEY CONTACTS

(866) 401-5272

Paul Neveu, CEBS, (315) 292-6968, pneveu@bpas.com

Robert A. Malczyk, (315) 725-1333, rmalczyk@bpas.com Maryann Geary, (267) 948-1623, mgeary@bpas.com Odaliza Martinez, (315) 292-6906, omartinez@bpas.com

WEBSITE BPAS.com

FIRM PROFILE

Our family of services include: BPAS Plan Administration & Recordkeeping Services, BPAS Actuarial and Pension Services, BPAS TPA Services, BPAS Fiduciary Services, BPAS Healthcare Consulting Services, BPAS VEBA & HRA/ HSA Services, BPAS AutoRollovers & MyPlanLoan Services, Hand Benefits & Trust (a BPAS Company), and BPAS Trust Company of Puerto Rico.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 2,000/115,000

403(b): 350/75,000

Money purchase: 10/850 457: 250/2,600

NQDC: 25/900

Defined Benefit: 400/30,000

Cash Balance: 150/30,000

Other: 825/150,000

ASSET ALLOCATION FUNDS

We offer the American Funds Portfolio Series as well as the American Funds Target Date Retirement Series.

PLANS BY CHANNEL (Direct/Advisor): 2/225

Platforms Used: We utilize our own Platform, and trade/settle directly with the NSCC.

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 13

External wholesalers focused on institutional 13

Internal wholesalers focused on advisors 4

Internal wholesalers focused on institutional 4

Compliance support, plan benchmarking, target-date evaluation tools, training for DC plan sales/service, investment committee meetings, auto enrollment, full online enrollment, MyPlanLoan, company stock, SDBA, fee normalization, HR outsourcing, 3(16) program, 3(38) services available, etc.

Visit napa-net.org for a list of plan sponsor and participant support services offered by BPAS.

EMPOWER RETIREMENT

GREENWOOD VILLAGE, CO

KEY CONTACTS

Sales: Joseph Smolen, (303) 737-1553, joseph.smolen@empower-retirement.com, Aram Boornazian, (617) 535-8984, aram.boornazian@empower-retirement.com Service: Jim Millson, (303) 737-1594, jim.millson@empower-retirement.com, Michael MacWade, (978) 983-9602, michael.macwade@empower-retirement.com

WEBSITE Empower-Retirement.com

FIRM PROFILE

Empower, the retirement services business of Great-West Financial, provides retirement savings products and services for public, corporate, and non-profit employers. Empower offers solutions in plan design, enrollment services, communication materials, and investment options to help plan sponsors improve participation.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 28,297/4,732,480 403(b): 3,572/517,336 457: 1,278/ 1,514,365 NQDC: 290/76,293 Defined Benefit: 66/5,379 Other: 2,393/1,173,213

ASSET ALLOCATION FUNDS

As of 09/30/16, approximately 3,000 asset allocation funds across all share classes, including 143 proprietary options.

PLANS BY CHANNEL

(Direct/Advisor): 0%/100%

Platforms Used: Empower Administrative System, an internally developed multi-tier application that provides flexibility for plan sponsors of any size.

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 68

External wholesalers focused on institutional 3

Internal wholesalers focused on advisors 56

Internal wholesalers focused on institutional 3

Compliance support, plan benchmarking, target-date evaluation tools, training for DC plan sales/service, investment committee meetings

Visit napa-net.org for a list of plan sponsor and participant support services offered by Empower Retirement.

FIDELITY INVESTMENTS ®

BOSTON, MA

KEY CONTACTS

Fidelity 401(k) Sales Desk, (800) 684-5254

WEBSITE Fidelity.com

FIRM PROFILE

As of June 30, 2016, Fidelity Investments® is the world’s largest privately held provider of financial services, with $5.4 trillion in assets under administration, including $1.5 trillion administered for Fidelity Workplace Investing clients. Fidelity offers investment management, retirement planning, brokerage, and benefits outsourcing services directly to 25 million individuals and more than 5,000 financial intermediaries.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 10,080/12,500,000 403(b): 826/2,300,000

Money Purchase: 328/1,200,000 457: 105/162,379

NQDC: 1,750/179,897 Defined Benefit: 690/3,900,000 Other: 11,772/2,500,000

ASSET ALLOCATION FUNDS

We are an open architecture platform with no proprietary funds or fund requirements. All asset allocation funds available on the platforms we partner with may be used.

PLANS BY CHANNEL

(Direct/Advisor): N/A

ADVISOR SUPPORT SERVICES

External

Compliance support, plan benchmarking, target-date evaluation tools, training for DC plan sales/service, investment committee meetings, FidelityConnect® advisor website, plan investment lineup consulting, sample investment menus, Fiduciary investment Reporting Manager (FiRM) monitoring tool, Morningstar Fund Screener customized for the Fidelity platform, Model Portfolio Recordkeeping Service, integrated participant communication & education planning and delivery

Visit napa-net.org for a list of plan sponsor and participant support services offered by Fidelity.

J.P. MORGAN ASSET MANAGEMENT

NEW YORK, NY

KEY CONTACTS

Michael Miller, (727) 204-7825, michael.d.miller@jpmorgan.com Charles Cote, (212) 648-0214, charlie.cote@jpmorgan.com Service: Charles Arneman, (614) 213-1465, charles.f.arneman@jpmorgan.com

WEBSITE JPMorganRetirementLink.com

FIRM PROFILE

J.P. Morgan Retirement Link is a comprehensive solution for addressing the retirement plan needs of small-and-mid sized companies ($1mm-$50mm+). We have a customized high-touch service delivery model aligned with advisor and plan sponsor needs. Additionally, the product offers a full service solution that enables plan sponsors to mitigate fiduciary risk, reduce administrative burden and guide participants to retirement readiness.

PRIMARY MARKET(S) SERVED

Small ($1 - $10 million), Mid ($10 - $100 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 454/79,145 403(b): 1/154 Money Purchase: 4/580 NQDC: 2/111 Defined Benefit: 1/0 Other: 34/7,802

ASSET ALLOCATION FUNDS

J.P Morgan has 921 unique funds available on an open architecture platform.

PLANS BY CHANNEL (Direct/Advisor): 369/118

Platforms Used: FASCore/Empower Institutional

ADVISOR SUPPORT SERVICES

Compliance support, plan benchmarking, target-date evaluation tools, training for DC plan sales/service, investment committee meetings, 401(k) fee comparison tool

PARTICIPANT SUPPORT SERVICES

Retirement income estimates/projections, call center support, smartphone access to participant balances, smartphone transaction access for participants, on-site enrollment and education meetings

PLAN SPONSOR SUPPORT SERVICES

Retirement readiness scorecard, quarterly plan review, quarterly investment review, annual business plan, on-demand compliance testing, and a robust plan sponsor website

JULY BUSINESS SERVICES

WACO, TX

KEY CONTACTS

Blake Willis, (888) 333-5859 x3105, bwillis@julyservices.com

Michelle LeCates, (888) 333-5859 x3188, mlecates@julyservices.com

Adam Barker, (888) 333-5859 x3142, abarker@julyservices.com

WEBSITE JulyServices.com

FIRM PROFILE

July Business Services (JULY) is a retirement and payroll services company that partners with financial advisors and third party administrators nationwide to design and implement successful retirement plan strategies for their clients.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 2,801/51,750 403(b): 36/2,370

457: 11/1,500

NQDC: 8/25

Defined Benefit: 73/675

Cash Balance: 150/1,550 Other: 42/2,175

ASSET ALLOCATION FUNDS

JULY is an open investment architecture platform. We have developed relationships with the following custodians: Mid Atlantic Trust Company, Matrix Trust Company, Pershing, Charles Schwab Trust Company, and TD Ameritrade Trust Company.

PLANS

BY CHANNEL

(Direct/Advisor): 0/3,200

Platforms Used: JULY provides recordkeeping and/or third party administration services. We offer bundled and unbundled (using an outside TPA) service models.

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 6

External wholesalers focused on institutional 2

Internal wholesalers focused on advisors 3

Internal wholesalers focused on institutional 0

Compliance support, plan benchmarking, training for DC plan sales/service, educational webinars, invitations to local and national events, web page dedicated to partner tools and resources, sales support, total cost analysis, and a consultative approach to servicing and plan design

Visit napa-net.org for a list of plan sponsor and participant support services offered by July Business Services.

LINCOLN FINANCIAL GROUP RADNOR, PA

KEY CONTACTS

Jason Key, (704) 362-3662, Jason.Key@LFG.com Tim Seifert, (484) 583-6393, Tim.Seifert@LFD.com

WEBSITE LFG.com

FIRM PROFILE

Built on Abraham Lincoln’s ideals of courage, strength and optimism, Lincoln Financial Group’s Retirement Plan Services has been a proven provider of retirement solutions for over 60 years, managing thousands of retirement plans that enroll millions of participants in organizations of all sizes in the small-business, corporate, healthcare, education and nonprofit sectors. With headquarters in the Philadelphia region, the companies of Lincoln Financial Group had assets under management of $223 billion as of June 30, 2015.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 8,454/396,558

403(b): 12,319/776,930

Money Purchase: 13/5,238

457: 1,838/84,116

NQDC: 433/15,778

Defined Benefit: 28/56,518 Cash Balance: 4/82,206

ASSET ALLOCATION FUNDS

Lincoln makes available an open architecture investment platform that includes access to the LifeSpan(R) custom target-date portfolios with ERISA 3(38) coverage by Morningstar Investment Management, Vanguard Target Retirement Funds, T. Rowe Price Retirement Funds, BlackRock LifePath Index Funds and more.

PLANS BY CHANNEL (Direct/Advisor): 15/85

Platforms Used: Proprietary platforms

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 32

External wholesalers focused on institutional 8

Internal wholesalers focused on advisors 56

Internal wholesalers focused on institutional 4

Compliance support, plan benchmarking, target-date evaluation tools, training for DC plan sales/service, investment committee meetings

Visit napa-net.org for a list of plan sponsor and participant support services offered by Lincoln Financial Group.

MASSMUTUAL FINANCIAL GROUP

SPRINGFIELD, MA

KEY CONTACTS

Sales: (800) 874-2502, Option 4 Service: (800) 528-9009

WEBSITE MassMutual.com/Retire

FIRM PROFILE

MassMutual was founded in 1851, and our proud tradition of helping Americans secure their financial futures includes 70 years of retirement plan service experience. We initially began working with defined benefit plans in 1946, and expanded our offering to include defined contribution/profit sharing plans more than 40 years ago. 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.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 25,689/1,732,635

403(b): 3,003/229,570

Money Purchase: 526/104,141

457: 1,968/261,988

NQDC: 202/3,612

Defined Benefit: 180/345,000 Cash Balance: 11/250 Other: 2,105/146,900

ASSET ALLOCATION FUNDS

Allianz, American Century, American Funds, BlackRock, BMO Funds, Fidelity, Franklin Templeton, GuideStone, Harbor, Invesco, John Hancock, JP Morgan, Mainstay, Manning & Napier, MassMutual, MFS, Nationwide, PIMCO, Principal Funds, Putnam, Russell, Stadion, T. Rowe Price, TIAA-CREF, Vanguard, Wells Fargo

PLANS BY CHANNEL (Direct/Advisor): 0/100

Platforms Used: SunGuard, DST Systems, Proprietary Recordkeeping System

MILLIMAN, INC. NEW YORK, NY

KEY CONTACTS

Sales: Kyle Hughes, (214) 863-5069, kyle.hughes@milliman.com, Dennis Sain, (847) 946-7611, dennis.sain@milliman.com Service: Laura Van Domelen, (303) 672-9050, laura.vandomelen@milliman.com, Sandra McGinty, (952) 820-2467, sandra.mcginty@milliman.com

WEBSITE Milliman.com

FIRM PROFILE

Milliman is a professional services firm serving the full spectrum of corporate, governmental, and financial service organizations. Milliman was founded in 1947 and incorporated in 1957. Since then, Milliman has grown, occasionally by merger, but more commonly through the addition of professional staff committed to the principles of the firm. Today the firm has 59 offices worldwide, staffed by approximately 3,000 employees.

PRIMARY MARKET(S) SERVED

Small ($1-$10 million), Mid ($10-$100 million), Large ($100 million - $250 million), Mega (>$250 million)

As of 06/30/16

401(k): 874/684,394 Defined Benefit: 260/1,138,188

ASSET ALLOCATION FUNDS

Milliman provides a completely open architecture and can accommodate most asset allocation and target date funds. PLANS BY CHANNEL (Direct/Advisor): 20/80 Platforms Used: Sungard Omniplus

PARTICIPANT

PLAN SPONSOR SUPPORT SERVICES

Outsourced; recordkeeping, administration, consulting,compliance, actuarial, employee education, communication

Visit napa-net.org for a list of plan sponsor and participant support services offered by MassMutual Financial Group.

MUTUAL OF OMAHA

OMAHA, NE

KEY CONTACTS

Patrick Bello, (215) 962-1279, patrick.bello@mutualofomaha.com

Patty Hutchinson, (402) 351-6495, patty.hutchinson@mutualofomaha.com

WEBSITE SellRetirementRight.com

FIRM PROFILE

For more than a century, Mutual of Omaha has been committed to helping our customers through life’s transitions by providing an array of insurance, financial and banking products. We are a financially strong, family-oriented company based in the heart of America, with solid, unflinching values. Our financial strength is reflected in our A+ rating from A.M. Best Company. We are customer-focused, as evidenced by a 98% satisfaction rating from our fullservice retirement clients – as measured by Chatham Partners.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 2,241/82,559 457: 30/2,052 Defined Benefit: 4,015/73,397

ASSET ALLOCATION FUNDS

Mutual Directions Series: five risk based lifestyle funds, T.Rowe Price Personal Strategy Series: three risk based lifestyle funds, Vanguard Target Retirement Series: eleven time based lifecycle target date funds, GlidePath Retirement Series: twelve time based lifecycle target date funds, Stadion Managed Account: individually managed account (IMA), Morningstar Retirement Manager: individually managed account (IMA)

PLANS BY CHANNEL (Direct/Advisor): 0/6,286

Platforms Used: UNIX, Clustered HP ES/47, WySTAR, DS8000, VMW

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 21

Internal wholesalers focused on advisors 9

Compliance support, plan benchmarking, training for DC plan sales/ service, investment committee meetings, plan health assessments, quarterly investment analysis reports, dedicated relationship managers, dedicated onboarding consultants, advisor service agreement templates, customized proposals, customized finalist presentations

PARTICIPANT SUPPORT SERVICES

Retirement income estimates/projections, in-plan lifetime income options, rollover services, call center support, Facebook page, smartphone access to participant balances and transactions

NATIONWIDE COLUMBUS, OH

KEY CONTACTS

Nationwide Sales Desk, (800) 626-3112 Nationwide Plan Service, (888) 262-401k

WEBSITE NationwideFinancial.com/RetirementPlans

FIRM PROFILE

Nationwide is committed to helping America prepare for and live in retirement. We provide you with the flexibility and control you need to build your group retirement plan business. We’re a Fortune 100 U.S.-based company with a strong and stable history dating back more than 90 years.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 18,930/802,348 403(b): 1,002/84,833 457: 7,359/1,373,433 Defined Benefit: 174/134 Other: 10,669/209,719

ASSET ALLOCATION FUNDS

Nationwide offers more than 60 asset allocation funds

PLANS BY CHANNEL (Direct/Advisor): 7,529/30,605

Platforms Used: Nationwide Retirement Flexible Advantage, Nationwide Retirement Innovator Advantage

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 58

External wholesalers focused on institutional 250 Internal wholesalers focused on advisors 35

Internal wholesalers focused on institutional 30

Compliance support, plan benchmarking, target-date evaluation tools, training for DC plan sales/service, investment committee meetings, Investment Solutions Builder®: portfolio building and management, Business Builder Program: advisor practice management resources, Nationwide Financial Fiduciary SeriesSM: fiduciary resources

PARTICIPANT SUPPORT SERVICES

Retirement income estimates/projections, call center support, smartphone access to participant balances and transactions

NORTH AMERICAN KTRADE ALLIANCE, LLC

PLYMOUTH, IN

KEY CONTACTS

Sales: Steve Gradeless, (614) 623-3438, sgradeless@ktradeonline.com Service: Trent Newcomb, (888) 954-9321, tnewcomb@ktradeonline.com

WEBSITE KTradeOnline.com

FIRM PROFILE

KTRADE is a true Open Architecture record keeping service, used mainly by fee-based RIA firms and IARs of Broker/Dealers’ RIAs. We work with a number of large, well known Custodians. We are owned by the TPAs who use our service.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10-$100 million)

ASSET ALLOCATION FUNDS

As a true Open Architecture platform service, KTRADE’s partner custodians offer numerous asset allocation funds.

PLANS BY CHANNEL (Direct/Advisor): 0%/100%

Platforms Used: SunGard ASP is backbone of recordkeeping platform

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 1

Internal wholesalers focused on advisors 2

Many Advisor support services are available through firms who work with KTRADE (such as DCIO wholesalers and TPIAs), as well as through our TPA Network who are aligned with KTRADE.

PARTICIPANT SUPPORT SERVICES

Retirement income estimates/projections, rollover services, call center support, smartphone access to participant balances and transactions

ONEAMERICA

INDIANAPOLIS, IN

KEY CONTACTS

Sales: Mark Glavin, (425) 451-4880, mark.glavin@oneamerica.com, Tammy Ouverson, (317) 285-4309, tammy.ouverson@oneamerica.com

Service: Denise Preece, (317) 285-2063, denise.preece@oneamerica.com Angela Trefethen, (317) 285-1455, angela.trefethen@oneamerica.com

WEBSITE OneAmerica.com

FIRM PROFILE

The retirement services companies of OneAmerica have specialized in designing, installing and providing award-winning administrative services for retirement plans for more than 50 years. They currently have 25 regional offices that provide sales and service to over 12,000 plans and more than $59B in assets under management. They provide services to the 3mm250mm market, with particular expertise within tax exempt markets, professional service firms, manufacturing firms and Taft Hartley.

PRIMARY MARKET(S) SERVED

Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 - $250 million)

As of 06/30/16

401(k): 4,634/833,261 403(b): 5,457/207,474 Money Purchase: 16/4,265 457: 957/66,375 NQDC: 36/861 Defined Benefit: 185/37,405 Cash Balance: 4/2,186 Other: 723/87,925

Compliance support, plan benchmarking, target-date evaluation tools, training for DC plan sales/service, investment committee meetings, Advisor Practice Management Program, Tax Exempt Markets Training Program, Fiduciary Support Services

Visit napa-net.org for a list of plan sponsor and participant support services offered by OneAmerica.

PAYCHEX, INC. ROCHESTER, NY

KEY CONTACTS

Sales: (855) 588-4775 Service: (877) 283-9520

WEBSITE Paychex.com

FIRM PROFILE

Paychex, Inc. is a leading provider of integrated human capital management solutions, including a full suite of retirement services designed to meet the needs of businesses of all sizes. In addition to extensive options for plan sponsors, Paychex Retirement Services also works with financial advisors to help grow retirement plan business through a dedicated team of wholesalers, sales representatives, and advisor support experts.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 73,900/ 849,000 Other: 100/1,000

ASSET ALLOCATION FUNDS

Deutsche, Eaton Vance, Goldman Sachs, GuidePath, John Hancock, Putnam, SunAmerica, Transamerica, Wells Fargo

PLANS BY CHANNEL (Direct/Advisor): 55/45

Platforms Used: Proprietary recordkeeping system, Omni SunGard

ADVISOR SUPPORT SERVICES

Compliance support, plan benchmarking, training for DC plan sales/service

PARTICIPANT SUPPORT SERVICES

Retirement income estimates/projections, rollover services, call center support, smartphone access to participant balances and transactions

PLAN SPONSOR SUPPORT SERVICES

Enrollment meetings, client and participant call center, web and mobile access to plan data, fiduciary products offered 3(38), 3(21), 3(16)

PENTEGRA RETIREMENT SERVICES

WHITE PLAINS, NY

KEY CONTACTS

Sales: Pete Swisher, (859) 608-9920, pete.swisher@pentegra.com, John Schafer, (317) 506-6875, john.schafer@pentegra.com Service: Heather Connington, (800) 872-3473 x9588, heather.connington@pentegra.com

WEBSITE Pentegra.com

FIRM PROFILE

Pentegra is a leading provider of retirement plan and fiduciary outsourcing solutions to clients nationwide. With expertise with every conceivable plan type and design, including specialized expertise in MEPs and Group Trusts, and ability to serve in various fiduciary roles, including 3(16) Plan Administrator, Named Fiduciary and Discretionary or Directed Trustee, we partner with firms as an independent resource.

PRIMARY MARKET(S) SERVED

Small ($1 -$10 million), Mid ($10 - $100 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 2,699/79,369 403(b): 130/3,079

Money Purchase: 4/165 457: 38/437 NQDC: 35/900 Defined Benefit: 517/49,054 Cash Balance: 81/1,139 Other: 72/--

ASSET ALLOCATION FUNDS

Pentegra has Open Architecture platform with numerous fund families with their own target date and asset allocation funds available.

PLANS BY CHANNEL (Direct/Advisor): 393/3,183

Platforms Used: Open Architecture

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 17

External wholesalers focused on institutional 17

Internal wholesalers focused on advisors 9

Internal wholesalers focused on institutional 9

Training for DC plan sales/service, investment committee meetings, multiple employer plan expertise

Visit napa-net.org for a list of plan sponsor and participant support services offered by Pentegra Retirement Services.

PRINCIPAL FINANCIAL GROUP

DES MOINES, IA

KEY CONTACTS

Doug Grove, (630) 705-0665, Grove.Doug@principal.com Jacque Mohs, (515) 247-4514, Mohs.Jacque@principal.com

WEBSITE Principal.com

FIRM PROFILE

A member of the FORTUNE 500®, the Principal Financial Group has $572.2 billion in assets under management and offices in 18 countries throughout Asia, Australia, Europe, Latin America and North America.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 -$10 million), Mid ($10 - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 30,561/3,677,396

403(b): 1,850/423,509 Money Purchase: 815/70,380

457: 1,008/24,152

NQDC: 2,912/59,696

Defined Benefit: 7,065/502,895

Cash Balance: 61/39,646 Other: 2,351/256,260

ASSET ALLOCATION FUNDS

TDF: Principal LifeTime Portfolios, Principal Trust Target Date Funds*; other options are also available through open architecture

TD Risk: Principal Strategic Asset Management (SAM) Portfolios; other options are also available through open architecture

*Effective 1/1/2017, Principal Trust Target Date Funds name changed to Principal LifeTime Hybrid Collective Investment Funds (CITs)

PLANS BY CHANNEL (Direct/Advisor): 0/46,623

Platforms Used: Proprietary recordkeeping platform

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 105

External wholesalers focused on institutional 41

Internal wholesalers focused on advisors 62

Internal wholesalers focused on institutional 24

Compliance support, plan benchmarking, target-date evaluation tools, training for DC plan sales/service, investment committee meetings, practice management and prospecting resources available at www.principal.com/ valueadd

Visit napa-net.org for a list of plan sponsor and participant support services offered by Principal Financial Group.

PRUDENTIAL RETIREMENT HARTFORD,

CT

KEY CONTACTS

Sales: Mike Domingos, (312) 521-6125, michael.domingos@prudential.com, Jason Tuscher, (312) 521-6178, jason.tuscher@prudential.com

Service: Michael Knowling, (860) 534-2915, michael.knowling@prudential.com

WEBSITE Prudential.com

FIRM PROFILE

Prudential Financial, Inc. (NYSE: PRU), a financial services leader with more than $1 trillion of assets under management as of September 30, 2016, has operations in the United States, Asia, Europe, and Latin America. Prudential’s diverse and talented employees are committed to helping individual and institutional customers grow and protect their wealth through a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds and investment management. Prudential Retirement, a business unit of Prudential Financial, Inc., delivers retirement plan solutions for public, private, and nonprofit organizations. With more than 85 years of retirement experience, Prudential Retirement helps meet the needs of 4.2 million participants and annuitants. Prudential Retirement has $386.7 billion in retirement account values as of September 30, 2016

PRIMARY MARKET(S) SERVED

Mid ($10 - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

#

OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 2,049/2,074,856 403(b): 1,184/226,634 457: 298/297,656 NQDC: 653/79,967

Defined Benefit: 788/539,609 Other: 83/92,947

ASSET ALLOCATION FUNDS

Our Lead asset allocation offerings are Prudential’s DayOne Target Date Funds and our GoalMaker program. We also support just about every other 3rd party Target Date Fund offering.

PLANS BY CHANNEL (Direct/Advisor): 4/96

Platforms Used: OMNI

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors and institutional 15

Compliance support, plan benchmarking, target-date evaluation tools, training for DC plan sales/service, investment committee meetings, referral program, DC optimization, pension de-risking strategies, executive benefit strategies, peer insight, networking, change the conversation, marketing consultation, presentation review, custom videos, prospecting tools, social media

Visit napa-net.org for a list of plan sponsor and participant support services offered by Prudential Retirement.

RETIREMENT PLAN CONSULTANTS LLC

NORFOLK, NE

KEY CONTACTS

Josh Kegley, (877) 800-1114 x2118, joshk@wealthfirm.info Alex Baumert, QKA, CPFA, TGPC, (877) 800-1114 x2105, alexb@wealthfirm.info Sales Desk, (877) 800-1114 x2954, sales@retirementplanconsultants.net

WEBSITE RetirementPlanConsultants.net

FIRM PROFILE

Retirement Plan Consultants LLC (RPC) is a firm committed to providing quality services and focusing on the success of our clients. We strive to make the retirement plan process as easy as possibly by providing superior recordkeeping and administrative services to our plan sponsors, participants, and financial advisors. Our flexible, open architecture platform allows advisors to create a retirement plan that best fits the company goals, whether it be through a 401(k), 403(b), Cash Balance, or other type of plan. RPC is dedicated to bringing excellence and simplicity to retirement plans across the country.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 630/12,170 403(b): 1,221/6,195 457: 17/260 NQDC: 11/65 Defined Benefit: 11/310 Cash Balance: 28/366

PLANS BY CHANNEL (Direct/Advisor): 0/1,918

Platforms Used: SunGard Relius, Custodian Options: Matrix Trust & TD Ameritrade Trust

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 4

External wholesalers focused on institutional 4

Internal wholesalers focused on advisors 2

Internal wholesalers focused on institutional 2

Compliance support; recordkeeper & third party administration services; ERISA consulting; custom model portfolio options; retirement plan sales training; legislative updates; quarterly educational webinars; links to financial planning software; benchmarking, investment, & cost analysis; 3(38) partnerships

Visit napa-net.org for a list of plan sponsor and participant support services offered by Retirement Plan Consultants LLC.

SECURIAN FINANCIAL GROUP

ST. PAUL, MN

KEY CONTACTS

Sales: Vince Giordano, (770) 330-9184, vincent.giordano@securian.com, Steve Chappell, (847) 533-1985, steven.chappell@securian.com Service: Ted Schmelzle, (651) 665-6394, theodore.schmelzle@securian.com

WEBSITE Securian.com

FIRM PROFILE

Securian is a broadly diversified financial services company offering insurance, investment, and retirement solutions with a proven track record of focusing on the long-term needs of our customers. Securian is a top ten insurance company and one of the nation’s top five direct writers of group life insurance.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 million - $250 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 2,342/273,648 Money Purchase: 27/6,744 457: 5/951 Defined Benefit: 91/12,599 Other: 47/38,363

ASSET ALLOCATION FUNDS

Over 50 Target Date Fund Families, over 500 Target Risk funds, TargetAge and Model Portfolios produce custom age & risk based portfolios from the plan line-up and an open architecture platform with over 6,100 unique investment options

PLANS BY CHANNEL

(Direct/Advisor): 0/100

Platforms Used: SunGard OmniDC along with customized back end and browser based applications

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 14

External wholesalers focused on institutional 3

Internal wholesalers focused on advisors 7

Internal wholesalers focused on institutional 2

ERISA consulting, plan and fee benchmarking, target-date evaluation tools, customized plan design assistance, access to CFA investment resources, assisted sales support, prospecting tools, advisor customized allocation portfolios

Visit napa-net.org for a list of plan sponsor and participant support services offered by Securian.

T. ROWE PRICE RETIREMENT PLAN SERVICES, INC.

BALTIMORE, MD THE STANDARD PORTLAND, OR

KEY CONTACTS

Sales: Kevin Collins, (410) 345-6740, kevin_collins@troweprice.com, Mike Shamburger, (410) 577-4478, mike_shamburger@troweprice.com

Service: Suzanne Ricklin, (410) 345-2347, suzanne_ricklin@troweprice.com, Tina Wilcox, (410) 345-6425, tina_wilcox@troweprice.com

WEBSITE TRowePrice.com

FIRM PROFILE

Our retirement solutions are rooted in over 30 years of experience working with plan sponsors, as well as the advisors and third-party administrators who can be critical to a plan’s success. We understand that building a successful plan in today’s uncertain environment is more complex than ever. We also believe in developing innovative solutions that will drive participant outcomes over the long term.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 3,154/1,719,339

403(b): 54/44,024

Money Purchase: 28/4,288 457: 48/95,033

NQDC: 165/9,550 Defined Benefit: 10/29,800

ASSET ALLOCATION FUNDS

More than 90 proprietary mutual funds, nonproprietary investment options from more than 60 investment managers, multiple share class options available, a robust brokerage service, T. Rowe Price Retirement Funds, T. Rowe Price Retirement Trusts, T. Rowe Price Target Date Funds, T. Rowe Price Hybrid Trusts

PLANS BY CHANNEL (Direct/Advisor): 0%/ 100% Platforms Used: OMNI, TRAC/DST Retirement Solutions

ADVISOR

Visit napa-net.org for a list of plan sponsor and participant support services offered by T. Rowe Price Retirement Plan Services, Inc.

KEY CONTACTS

Sales: Daniel Hall, (971) 321-8970, Daniel.Hall@standard.com, Ken Waineo, (971) 321-7089, Ken.Waineo@standard.com Service: Harley Spring, (971) 321-7840, Harley.Spring@standard.com, Shanley Johndrow, (425) 945-9668 x1326, Shanley.Johndrow@standard.com

WEBSITE Standard.com

FIRM PROFILE

For more than 80 years, The Standard has designed, installed, administered and provided investment options for retirement plans. Clients include a wide range of corporations, governmental agencies and non-profit organizations.

PRIMARY MARKET(S) SERVED

Small ($1 - $10 million), Mid ($10 - $100 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 2,421/289,297 403(b): 214/40,239

Money Purchase: 41/5,838 457: 115/2,432 NQDC: 31/318 Defined Benefit: 178/23,120 Cash Balance: 25/1,160 Other: 52/6,080

ASSET ALLOCATION FUNDS

The Standard’s net asset value open architecture platform provides access to approximately 13,000 mutual funds and we currently trade 3,000 of those. Our group annuity platform offers more than 250 options from more than 50 different fund families. PLANS

ADVISOR

Compliance support; plan benchmarking; target-date evaluation tools; training for DC plan sales/service; investment committee meetings; advisor council; bi-weekly emails providing updates on products and services, thought leadership and promotional/branding messaging; regional advisor workshops and symposiums.

Visit napa-net.org for a list of plan sponsor and participant support services offered by The Standard.

UBIQUITY RETIREMENT & SAVINGS

SAN FRANCISCO, CA

KEY CONTACTS

Chris Jasinski, (855) 401-7253 Option 3, partnershipsupport@myubiquity.com

Christie-Jo Starvish, (855) 401-7253, partnershipsupport@myubiquity.com

WEBSITE MyUbiquity.com

FIRM PROFILE

Ubiquity is a provider of digital/web-delivered 401(k)s solely to the SmallBusiness market (1-100 Employees). Our products are easy, low-cost, integrated with payroll, and intended to provide Advisors with access to the “Start-Up” and Small-Business segments while minimizing the work and liability.

PRIMARY MARKET(S) SERVED

Micro (<$1 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 7,000/45,000

ASSET ALLOCATION FUNDS

Using Matrix as our Custodian, Ubiquity is a complete Open-Architecture provider, and offers access to tends of thousands of mutual funds and ETFs, including dozens of fund families offering Target Date Funds, as well as several 3rd Party 3(38) managers, such as Morningstar and Loring Ward

PLANS BY CHANNEL (Direct/Advisor): 1,000/6,000

Platforms Used: Matrix

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 3

External wholesalers focused on institutional 2

Internal wholesalers focused on advisors 2

Internal wholesalers focused on institutional 2

Compliance support, plan benchmarking, training for DC plan sales/service, an Advisor “Dashboard” to help advisors identify plan and participant balances, as well as tools to offer model portfolios, at scale, across multiple plans and participants

PARTICIPANT SUPPORT SERVICES

Rollover services, call center support, smartphone access to participant balances and transactions, enrollment webinars & meetings

PLAN SPONSOR SUPPORT SERVICES

Ubiquity provides a dedicated individual contact to Plan Sponsors to handle all facets of the Plan, including Design, Recordkeeping, and Plan Administration

UNIFIED TRUST COMPANY, N.A. LEXINGTON, KY

KEY CONTACTS

Sales: Lee Topley, (859) 514-8271, lee.topley@unifiedtrust.com, Justin Morgan, (859) 514-6183, justin.morgan@unifiedtrust.com Service: Crystal Kleinjan, (859) 422-0349, crystal.kleinjan@unifiedtrust.com

WEBSITE UnifiedTrust.com

FIRM PROFILE

Unified Trust specializes in the fiduciary management of qualified retirement plans. We are one of the only fully discretionary trustees in the country, taking full discretion and liability for the assets of the plans we serve. There is a complete allocation of responsibility, and therefore liability, with respect to the tasks we accept - the safekeeping and management of plan assets. Our focus on retirement success is what makes us different. Our approach is aimed at achieving the goal of retirement success for every participant. Serving as a fully discretionary trustee means we are required by law to act solely in the interest of participants and beneficiaries. We’ve taken this legal requirement and turned it into the foundation of our company culture.

PRIMARY MARKET(S) SERVED

Small ($1 - $10 million), Mid ($10 - $100 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 12/31/15

401(k): 519/38,226 403(b): 14/2,023 Money Purchase: 6/314 457: 18/665 Defined Benefit: 24/-Cash Balance: 26/-Other: 18/543

ASSET ALLOCATION FUNDS

Open architecture approach, can utilize any number of fund families.

PLANS BY CHANNEL (Direct/Advisor): 16/84

Platforms Used: Bundled, recordkeeping and trustee only services with both UnifiedPlan® and Unified Success Pathway options.

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 6

Internal wholesalers focused on advisors 6

Compliance support, plan benchmarking, investment committee meetings

PARTICIPANT SUPPORT SERVICES

Retirement income estimates/projections, call center support, smartphone access to participant balances and transactions

VANTAGE BENEFITS ADMINISTRATORS

DALLAS, TX

KEY CONTACTS

Director of Business Development, (972) 354-5200, marketing@vantagebenefits.com

Director, Benefits Resource Center, (888) 581-9787, benefitsupport@vantagebenefits.com

WEBSITE VantageBenefits.com

FIRM PROFILE

Vantage Benefits is a full-service Third Party Administrator specializing in corporate benefit programs. We are independent of all insurance companies and investment product providers. We provide a one-source solution platform for benefits administration, reducing the cost and risk of managing benefits. Our unbiased approach puts the best interests of plan participants first.

PRIMARY MARKET(S) SERVED

Small ($1 - $10 million), Mid ($10 - $100 million)

ASSET ALLOCATION FUNDS

The Vantage Benefits platform offers plan sponsors and advisors access to over 20,000 mutual funds, exchange traded funds (ETFs), separately managed accounts (SMAs), collective investment trusts (CITs) and guaranteed investment contracts (GICs). We provide access to self-directed brokerage accounts and a brokerage window. Plan sponsors also benefit from custom-built asset allocation models provided by our retirement advisor partners.

PLANS BY CHANNEL

Platforms Used: Vantage uses multiple custodians to create options for our clients such as Matrix and Relius.

ADVISOR SUPPORT SERVICES

Compliance support, plan benchmarking, target-date evaluation tools, training for DC plan sales/service, investment committee meetings

PARTICIPANT SUPPORT SERVICES

Retirement income estimates/projections, rollover services, call center support, Facebook page

VOYA FINANCIAL

WINDSOR, CT

KEY CONTACTS

Sales: Bill Elmslie, (860) 580-1655, william.elmslie@voya.com Jon Reilly, (714) 319-7354, jonathan.reilly@voya.com

Service: Amy Vaillancourt, (860) 580-2396, amy.vaillancourt@voya.com Jon Reilly, (714) 319-7354, jonathan.reilly@voya.com

WEBSITE voya.com

FIRM PROFILE

Voya Financial, Inc. (NYSE: VOYA), helps Americans plan, invest and protect their savings - to get ready to retire better. With a clear mission to make a secure financial future possible - one person, one family, one institution at a time - Voya’s vision is to be America’s Retirement Company™

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

# OF PLANS/PARTICIPANTS SERVED BY TYPE

As of 06/30/16

401(k): 21,154/2,276,096 403(b): 20,290/899,201 457: 5,341/1,255,012 NQDC: 60/17,633 Other: 9/74,563

ASSET ALLOCATION FUNDS

Voya offers a wide range of asset allocation funds including balanced funds, risk-based funds and target date funds. We offer proprietary, non-proprietary and open-architecture choices as well as passive, active or blend options.

PLANS

ADVISOR SUPPORT SERVICES

Compliance support, plan benchmarking, target-date evaluation tools, training for DC plan sales/service, investment committee meetings, access to proprietary and third party investment advice/support, investment monitoring products, participant education and enrollment support, rollover assistance, practice management tools that provide training, prospecting & business support, legislative updates and technical support

Visit napa-net.org for a list of plan sponsor and participant support services offered by Voya Financial.

BILLINGS AND COMPANY, INC.

SIOUX CITY, IA

KEY CONTACTS

Dick Billings, (800) 713-401k, dick.billings@billingsco.com

Michael Billings, (800) 713-401k, mike.billings@billingsco.com

Brandon Madison, 800-713-401k, brandon.madison@billingsco.com

Try Becker, (800) 713-401k, trey.becker@billingsco.com

WEBSITE Billingsco.com

FIRM PROFILE

Billings and Company, Inc. is a non-producing TPA with Plan Sponsor clients in 34 states. We also offer our Gazelle-by-Billings open architecture daily recordkeeping system that offers over 20,000 mutual funds, advisor models, ETF’s, and brokerage. In addition, our firm offers Named 402/3(16) Fiduciary Services and Notice Outsourcing for Plan Sponsors who desire to legally delegate virtually all of their fiduciary responsibilities.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million)

# OF PLANS/PARTICIPANTS

SERVED BY TYPE

As of 06/30/16 401(k): 325/27,000 403(b): 20/1,500 Money Purchase: 5/125 457: 120/1,200 Cash Balance: 15/80

PLANS BY CHANNEL (Direct/Advisor): 0/100

Platforms used: Relius

ASSET ALLOCATION FUNDS

Any asset allocation fund listed on a national exchange is available.

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 0

External wholesalers focused on institutional 0 Internal wholesalers focused on advisors 2 Internal wholesalers focused on institutional 2

Compliance support, plan benchmarking, targetdate evaluation tools, training for DC plan sales/ service, investment committee meetings

PARTICIPANT SUPPORT SERVICES

Retirement income estimates/projections, rollover services, call center support, smartphone access to participant balances, smartphone transaction access for participants

EKON BENEFITS

ST. LOUIS, MO

KEY CONTACTS

Sales & Service: Keith Kowalczyk, 314.367.2823, keith. kowalczyk@ekonbenefits.com Genelle Brakefield, 314.367.0050, genelle. brakefield@ekonbenefits.com

WEBSITE EkonBenefits.com

FIRM PROFILE

Founded in St. Louis, Missouri in 1981, Ekon Benefits has been specializing in the administration and consulting of employersponsored retirement plans for over 35 years. We pride ourselves on providing comprehensive retirement services that are customized to the needs of each client and participant group. Please visit www.EkonBenefits.com to learn more.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million)

# OF PLANS/PARTICIPANTS

SERVED BY TYPE

As of 06/30/16 401(k): 204/8,700 403(b): 6/950 Money Purchase: 10/2,670 457: 6/700 NQDC: 6/100 Defined Benefit: 74/15,000 Cash Balance: 8/75 Other: 44/2,260

PLANS BY CHANNEL

Proprietary – Ekonnect

ASSET

ALLOCATION FUNDS

Ekon provides a complete open architecture platform through a direct trading agreement with the NSCC.

ADVISOR SUPPORT SERVICES

Compliance support, plan benchmarking, targetdate evaluation tools, training for DC plan sales/ service, investment committee meetings

PARTICIPANT SUPPORT SERVICES

Retirement income estimates/projections, Inplan lifetime income options, Rollover services, Smartphone access to balances, Smartphone transaction access for participants, MyEkon participant account access with guidance plus, Dedicated plan specialist – single point of contact, Ekon benefits’ linkedIn page

PLAN SPONSOR SUPPORT SERVICES

Comprehensive plan administration & compliance, Preparation & filing of plan’s form 5500, Annual compliance testing, Company & employee meetings, Maintenance of employee accounts, Dedicated plan specialist – single point of contact, recently enhanced sponsor online account access

EMPLOYEE FIDUCIARY, LLC

MOBILE, AL

KEY CONTACTS

Holly Roussel-Godfrey, (251) 581-9280, hgodfrey@employeefiduciary.com

WEBSITE employeefiduciary.com

FIRM PROFILE

Founded in 2004, Employee Fiduciary is employee owned, operated and fully independent. We have one simple mission - to deliver small business 401k plans that equal or exceed the best in the country. Our benefits include:

• Low Fees – Our annual fee is $1,500 (includes up to 30 plan-eligible employees) + 0.08% of plan assets + $30 for each employee in excess of 30.

• Investment Choice - We allow any investment, including low cost Vanguard index funds and ETFs, without limitation or markup.

• Expert Care - Our services have been sharpened by decades of experience to make 401k plan sponsorship easy, safe and costeffective for small businesses.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 -$10 million), Mid ($10 - $100 million)

# OF PLANS/PARTICIPANTS

SERVED BY TYPE

As of 06/30/16 401(k): 2,800/65,000 403(b): 100/5,000 Money Purchase: 5/100 457: 20/100

PLANS BY CHANNEL (Direct/Advisor): 1, 700/1,300

ASSET ALLOCATION FUNDS Permitted

ADVISOR SUPPORT SERVICES

Compliance support, plan benchmarking, targetdate evaluation tools, training for DC plan sales/ service, investment committee meetings

PARTICIPANT SUPPORT SERVICES

Retirement income estimates/projections, call center support, Facebook page

EPIC ADVISORS, INC.

ROCHESTER, NY

KEY CONTACTS

Sales: Brian Lenz, (585) 362-4259, blenz@epic1st.com Lisa Brown, (585) 232-9060, sales@epic1st.com

WEBSITE Epic1st.com

FIRM PROFILE

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million)

# OF PLANS/PARTICIPANTS

SERVED BY TYPE

As of 06/30/15

401(k): 1,794/113,526 403(b): 34/4,556 Money Purchase: 8/824 457: 14/228 NQDC: 11/282 Other: 11/1,111

PLANS BY CHANNEL

(Direct/Advisor): 0/1,872

Platforms used: Charles Schwab, Fidelity, Matrix/MG Trust, Mid Atlantic Trust Company, Pershing, TD Ameritrade, SEI, Reliance

ASSET ALLOCATION FUNDS

EPIC offers true open-architecture access to over 20,000 funds through our custodial partners.

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 3

External wholesalers focused on institutional 2 Internal wholesalers focused on advisors 2 Internal wholesalers focused on institutional 2

Compliance support, plan benchmarking, target-date evaluation tools, training for DC plan sales/service, fiduciary and co-fiduciary services available

PARTICIPANT SUPPORT SERVICES

Retirement income estimates/projections, rollover services, call center support, smartphone access to participant balances and transactions

PLAN SPONSOR SUPPORT SERVICES

Plan level retirement readiness analysis and private labeled recordkeeping solutions for banks, advisors, TPAs and other financial intermediaries

OHIO NATIONAL

CINCINNATI, OH

KEY CONTACTS

(877) 999-6637 RPSSales&Marketing@ohionational.com

WEBSITE ohionational.com

FIRM PROFILE

For over 100 years, Ohio National has earned its clients’ trust by providing quality financial products. We have a long-standing tradition in offering competitively priced, high-value retirement plan solutions. Ohio National is committed to the philosophy that people do business with people. We not only earn strong financial ratings from industry analysts, we also receive outstanding marks from our own associates. Having won multiple Top Workplace awards, Ohio National is a sought-after employer. In turn, clients receive prompt, courteous service from long-tenured employees who enjoy what they do.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million)

PLANS BY CHANNEL (Direct/Advisor): 0/100

Platforms Used: FIS OmniASP

ASSET ALLOCATION FUNDS

American Century’s One Choice® Target Date Funds, 401(k) Roadmap Funds™, T. Rowe Price Retirement Funds, Vanguard Target Retirement Funds, Morningstar ETF Asset Allocation Series, TOPS® ETF Allocation Series, suite of Managed Volatility Portfolios (MVPs) and strategic asset allocation funds

ADVISOR SUPPORT SERVICES

External wholesalers 83

Internal wholesalers 33

Compliance support, plan benchmarking, targetdate evaluation tools, training for DC plan sales/ service, retirement plan cost comparison tool, Morningstar® 3(21) and 3(38) fiduciary services.

PARTICIPANT SUPPORT SERVICES

Retirement income projections, call center, beneficiary information housed on system, fully transactional website, smart phone access to participant balances and transactions

SENTINEL BENEFITS & FINANCIAL GROUP

WAKEFIELD, MA

KEY CONTACTS

Ryan Campagna, (781) 914-1251, Ryan.Campagna@sentinelgroup.com

Alan Pfeffer, (516) 414-8311, Alan.Pfeffer@sentinelgroup.com

Jerry Cicalese, (516) 414-8588, Jerry.Cicalese@sentinelgroup.com

Eileen Greenspan, (212) 655-0325, Eileen.Greenspan@sentinelgroup.com

WEBSITE sentinelgroup.com

FIRM PROFILE

Sentinel Benefits Group is a trusted record keeper providing administrative and compliance services with robust plan design and education solutions that are highly customized and provide an intuitive experience designed to help participants steer toward stronger, more successful retirement preparedness.

PRIMARY MARKET(S) SERVED

Micro (<$1 million), Small ($1 - $10 million), Mid ($10 - $100 million)

# OF PLANS/PARTICIPANTS

SERVED BY TYPE

As of 06/30/16 401(k): 791/61,124 403(b): 36/11,740 Money purchase: 69/6,614 457: 10/149 NQDC: 17/690 Defined Benefit: 191/1,614

PLANS BY CHANNEL (Direct/Advisor): 60/40

Platforms Used: Fidelity, Schwab, Mid Atlantic Trust Company, Matrix and Pershing RPN

ASSET ALLOCATION FUNDS

We are open architecture and agnostic to the investment options.

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 5

External wholesalers focused on institutional 12

Internal wholesalers focused on advisors 5

Internal wholesalers focused on institutional 12

Compliance support, plan benchmarking, target-date evaluation tools, training for DC plan sales/service, fiduciary and co-fiduciary services available.

PARTICIPANT SUPPORT SERVICES

Retirement income estimates/projections, call center support, smartphone access to participant balances and transactions

VALIC

HOUSTON, TX

KEY CONTACTS

Robert Haverstrom, (713) 831-5497, robert.haverstrom@valic.com

Gordon Lester, (713) 831-6203, gordon.lester@valic.com

WEBSITE VALIC.com

FIRM PROFILE

VALIC is one of the nation’s leading retirement plan services companies, providing education, investment, recordkeeping and administration to a variety of markets. Employers served include: elementary and secondary education institutions, higher education institutions, hospital and healthcare organizations, governmental entities and other non-profit organizations. VALIC currently provides tax-favored retirement plan services to nearly 24,000 organizations representing approximately 1.8 million participant accounts.

PRIMARY MARKET(S) SERVED

Mid ($10-$100 million), Large ($100 million$250 million), Mega (>$250 million)

# OF PLANS/PARTICIPANTS

SERVED BY TYPE

As of 06/30/16

401(k): 752/69,144 403(b): 18,317/1,301,602

Money Purchase: 1,732/314,881 457: 3,882/234,141 Cash Balance: 593/7,102

PLANS BY CHANNEL (Direct/Advisor): 25276/1255

Platforms Used: VALIC’s proprietary recordkeeping system, supports the account balance recordkeeping, payment processing, disbursements and other service needs of our large client base.

ASSET ALLOCATION FUNDS

VALIC provides access to more than 8,900 funds from well-known fund families with no proprietary mutual fund requirement. Over 1,000 of these available funds are asset allocation funds from more than 80 different fund families.

ADVISOR SUPPORT SERVICES

External wholesalers focused on advisors 16

External wholesalers focused on institutional 24 Internal wholesalers focused on advisors 6

Internal wholesalers focused on institutional 6

Compliance support, plan benchmarking

NAPA’s Upcoming Industry Lists

NAPA’s unique lists highlight three critical elements of the retirement industry: “Wingmen,” listing the DC industry’s top wholesalers, “Young Guns,” our list of the top plan advisors under 40, and NAPA’s Top Women Advisors.

One of the things that sets these lists apart from other published lists is that they are based on a nominating/voting/selection process that taps the knowledge of NAPA’s 10,000+ members. Look for more information about the upcoming editions of all three lists on the NAPA Net portal and in the NAPA Net Daily.

In what has long been a male-dominated profession, a growing number of women are today making significant contributions to this field. In 2015, the editorial team here committed to an acknowledgment of those contributions with the launch of the newest NAPA Net list, NAPA’s Top Women Advisors.

You can find the lists of Top Women Advisor All-Stars, Captains, and Rising Stars online at www.napa-net.org, under the “Industry Lists” tab.

The 2016 list of Top Women Advisors will be published in the Winter 2016 issue of NAPA Net, the Magazine.

Where is the next generation of plan advisors coming from?

To answer that question, NAPA set out to find the top young advisors — the profession’s “Young Guns.” The result of was our list of the “Top 50 Plan Advisors Under 40,” first published in 2014.

You can find our lists from 2014, 2015, and 2016 online at www.napa-net.org, under the “Industry Lists” tab.

The 2017 “Young Guns” list will be published in the Spring 2017 issue of NAPA Net, the Magazine, which will be distributed at the NAPA 401(k) Summit, the nation’s retirement plan advisor convention.

Only plan advisors know how important their DC wholesaler can be in building, managing and growing their practice. We call them “DC Wingmen” because if they are doing their job, they have your back.

And only advisors know which Wingmen are really good and truly add value.

That’s why NAPA set out to identify the top wholesalers who serve the DC market — the truly elite Wingmen. Our first annual Top DC Wholesalers list, published in March 2014, quickly became an industry staple.

You can find the lists of Top DC Wholesalers online at www.napa-net.org, under the “Industry Lists” tab.

The 2017 list of DC Top Industry Wholesalers will be published in the Summer 2017 issue of NAPA Net, the Magazine.

Questions about the process, timing, or eligibility for the lists should be directed to Nevin Adams at nevin.adams@usaretirement.org.

WINTER 2016

SUMMER 2017

SPRING 2017

2017

DISTRIBUTORS

THE BROKER DEALERS & RIAs

Financial advisors need to affiliate with a broker dealer (BD) or registered investment advisor (RIA) in order to sell investments (other than annuities) within DC plans.

There are three basic platforms they can choose from:

WIRE HOUSES

Platforms where the plan advisor is an employee

INDEPENDENT BDs

The advisor is a 1099 contractor

3

RIAs

The advisor has no affiliation with a BD

A growing number of experienced plan advisors these days fall into a category called “hybrids,” meaning they affiliate with a BD and an RIA. That RIA can be owned and controlled by the BD with which they are affiliated, or the advisor can own and run it independently. Furthermore, there’s a growing crop of specialty groups, many of which are affiliated with an established BD, that focus on supporting plan advisors. Some of those groups require a BD or RIA change, while others do not.

Some experienced advisors are joining these specialty groups to leverage their intellectual capital and support as well as the brand. As with BDs, some require the advisor to be an employee, while others allow advisors to remain independent. Other advisors choose to remain independent, usually affiliating with a BD that has allocated at least a minimal amount of support in the form of home office personnel and the tools that advisors need to run a DC practice.

Looming over all this is the Labor Department’s fiduciary rule, specifically its potential impact on business structures, practices, and compensation. And as if that weren’t enough change and uncertainty to absorb, the 2016 elections have thrown a whole new twist of considerations into the mix.

Regardless, this is a resilient industry that has long had to anticipate and respond to the winds of regulatory and legislative change, even if the transitions haven’t always been easy, painless, or even as initially anticipated. Pundits have predicted massive changes that didn’t come to be, and glossed over change that, at the time, seemed relatively insignificant, but with the perspective of time turned out to be truly “game changing.”

As we said a year ago in this space, advisors – and the firms that support them and their practices – would be well-advised to stay tuned for changes that, though affected and influenced by the DOL rule, will be driven mostly by the continued sway of a dynamic marketplace.

— Nevin Adams

inancial advisors need to affiliate with a broker-dealer (BD) or registered investment advisor (RIA) in order to sell investments (other than annuities) within DC plans.

Beaumont

ü ü ü ü ü ü ü ü ü 7 ü ü ü ü ü ü 7 ü ü ü ü ü ü 3 ü ü ü ü ü ü ü ü 7 ü ü ü ü ü ü ü ü ü ü ü 1,458 ü ü ü ü ü 10 ü ü ü ü ü 8 ü ü ü ü ü ü ü ü 700 ü ü ü ü ü ü ü ü ü 214 ü ü ü ü ü ü ü ü ü ü ü ü 317 ü ü ü ü 4 ü ü ü ü ü ü ü ü ü ü 40 ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü 25 ü ü ü ü ü ü 10 ü ü ü ü ü ü ü ü ü 8 ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü 6 ü ü ü ü ü 2 ü ü ü ü ü ü ü ü ü ü ü 3 ü ü ü ü ü ü 15 ü ü ü ü 2 ü ü ü ü ü 2 ü ü ü ü ü

Latus Group, Ltd. ü ü ü ü ü

LPL Financial ü ü ü ü ü ü ü ü ü ü

M Financial Group ü ü ü ü ü ü ü ü

Marietta Wealth ü ü ü

Mariner Retirement Advisors ü ü ü ü ü

Morgan Stanley ü ü ü ü ü ü ü ü

National Planning Corporation ü ü ü ü

Pension Consultants, Inc. ü ü ü ü ü

Pensionmark Financial Group ü ü ü ü ü ü ü ü

Plante Moran Financial Advisors, LLC ü ü ü ü ü

Plexus Financial Services ü ü ü

Precept Advisory Group, LLC ü ü

Raymond James ü ü ü ü ü ü ü ü ü ü

Resources Investment Advisors, Inc. ü

Retirement Fund Management ü ü ü ü

Roush Investment Group ü ü ü ü

SageView Advisory Group ü ü ü ü

Sentinel Pension Advisors, Inc. ü ü ü ü ü ü

SII Investments, Inc. ü ü ü ü

Soltis Investment Advisors ü ü ü ü

The Pacific Financial Group, Inc. ü

ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü 80 ü ü ü ü ü 55 ü ü 5 ü ü ü ü ü ü ü ü ü 10 ü ü ü ü ü ü ü 30 ü ü ü ü ü 52 ü ü ü ü ü ü ü 22 ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü 5 ü ü ü ü ü 6 ü ü ü ü 9 ü ü ü ü ü ü ü ü ü ü 45 ü ü ü ü ü ü ü ü ü 3 ü ü ü ü ü 5 ü ü ü ü ü ü ü ü ü ü 130 ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü 2 ü ü ü ü ü ü ü 19 ü ü 42 ü ü ü ü ü ü ü ü 12 ü ü ü ü ü ü ü ü ü ü ü ü ü 1100 ü ü ü ü ü 15

ADVISOR GROUP

NEW YORK, NY

KEY CONTACTS

Taylor Hammons, (901) 900-3479, taylor.hammons@advisorgroup.com Stacia Apostolos Laux, (612) 590-5165, stacia.laux@advisorgroup.com Pete Hirsch, (770) 690-3499, phirsch@advisorgroup.com

WEBSITE AdvisorGroup.com

FIRM PROFILE

As a company, we are unconditionally committed to advisors. We work this out every day by providing them with flexibility to run their business the way they want. We want you to do business your way. While many broker-dealers offer narrow definitions of what open architecture means to them, Advisor Group is focused on what it means to you. We understand that you have a vision to take your already successful practice to an even better place. The bottom line is that you know the best way to manage your own business.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million$100 million), Large ($100 million - $250 million)

OPTIONS AVAILABLE

• Retirement sales desk reps

• Business development consultants

• Recruiter for retirement plan advisors

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• Benchmarking tools

• CRM/data aggregation

• Allows fiduciary declaration3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) – in-house or outsourced

• Plan feature review/plan design consulting

• Consulting on SMAs

• Plan sponsor fiduciary training

• Stable value analysis

• Minimum fee schedules

3rd Party Clearing BD: Pershing, NFS

home office employees supporting the retirement business

ASSETGRADE, LLC

BOSTON, MA

KEY CONTACTS

Susan Powers, (404) 720-8220, susan.powers@assetgrade.com

Patrick Cote, (617) 933-7257, patrick.cote@assetgrade.com

Kate Hennessy, (315) 515-0067, kate.hennessy@assetgrade.com Toll Free (844) 99-ASSET

WEBSITE AssetGrade.com

FIRM PROFILE

AssetGrade is built on the belief that investing and managing our client’s assets and plans should be a personal and seamless experience. With offices in Atlanta, Boston and Chicago, we work to help you ensure you’re on the right path through creative financial planning, investment management and retirement plan consulting. AssetGrade is a fee-only Registered Investment Advisor working with clients having at least $100K in investable assets—we are passionate about providing personal service and a tailored approach typically reserved for those with many millions in assets.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million)

OPTIONS AVAILABLE

•

Benchmarking tools

• Participant advice/participant services

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• Plan design consulting

• Minimum fee schedules

Picking the best benefits package shouldn’t be overwhelming. At AssetGrade we are committed to helping you from beginning to end, from making sure you have the right structure, to setting up all the paperwork, to monitoring success.

3rd Party Clearing BD: Fidelity

home office employees supporting the retirement business

AXIA ADVISORY

INDIANAPOLIS , IN

KEY CONTACTS

Keith Shadrick, (317) 630-2800, kshadrick@AxiaAdvisory.com

Matt Fleck, (317) 630-2800, mfleck@AxiaAdvisory.com

WEBSITE AxiaAdvisory.com

FIRM PROFILE

Axia Advisory provides retirement plan and investment management consulting services to employer-sponsored retirement plans. Axia’s success has been built upon its commitment to improving the operations and performance of clients’ investment and retirement portfolios. Axia serves our clients as an independent investment consultant and we have acknowledged our fiduciary status on the services we provide to our clients since 1992. Axia Advisory is a fee-for-service consulting firm that derives all revenues from fully disclosed and transparent fee arrangements.

Axia Advisory provides the following services and is experienced in: Investment Management Consulting/Plan Design/Fiduciary Governance/Vendor Search/Fee Analysis/Custom Model Design and Implementation/Employee Communication and Education.

PRIMARY MARKET(S) SERVED

Mid ($10 million - $100 million), Large ($100 million - $250 million)

OPTIONS AVAILABLE

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• Benchmarking tools

• Participant advice/participant services

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) - In-house or outsourced

• Plan design consulting

• Plan sponsor fiduciary training

• Stable value analysis

3rd Party Clearing BD: N/A home office employees supporting the retirement business

BANK OF AMERICA MERRILL LYNCH

PENNINGTON, NJ

KEY CONTACTS

Joe Mrozek, (609) 274-7602, joe.mrozek@baml.com Renee Rodriquez (Mid-Market), (609) 274-5102, renee.rodriquez@baml.com

WEBSITE BenefitPlans.BAML.com

FIRM PROFILE

Bank of America Merrill Lynch is committed to helping your employees improve their financial lives. It’s been our focus across our entire history, from every corner of our enterprise and through each and every connection. By broadening our view to include an employee’s entire financial picture, both in and out of plan, we believe we can help all of your employees better manage and gain control of their finances.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million$100 million), Large ($100 million - $250 million), Mega (>$250 million)

OPTIONS AVAILABLE

• Preferred provider program

• Retirement sales desk representatives

• Business development consultants

• Recruiter for retirement plan advisors

• Other tools

• Benchmarking tools

• Participant advice/participant services

• CRM/data aggregation

• Internal rollover program

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) - in-house or outsourced

• Plan design consulting

• Plan sponsor fiduciary training

• Stable value analysis

• Minimum fee schedules

• Proprietary tools and reporting

3rd Party Clearing BD: N/A

1,458

home office employees supporting the retirement business

BEAUMONT FINANCIAL PARTNERS, LLC.

NEEDHAM, MA

KEY CONTACTS

Robert Alimena, (631) 875-4362, RAlimena@bfpartners.com Forbes Barber, (781) 400-2812, FBarber@bfpartners.com

WEBSITE BFPartners.com

FIRM PROFILE

In addition to traditional 401k selection and advice, Beaumont is well versed in managing Cash Balance, Defined Benefit and Profit Sharing plans. Beaumont Financial Partners, LLC is an entrepreneurial wealth management firm based in Needham, Massachusetts. The firm, SEC registered since 1981, focuses on the financial health and wellbeing of high and ultra-high net worth families.

In contrast to many firms, Beaumont possesses deep resources in both investment analytics and planning capabilities. These resources allow the firm to synthesize client portfolio management decisions with thoughtful planning recommendations, resulting in truly tailored wealth management advice. Beaumont’s seasoned research team also allows the firm to recommend and assist clients in evaluating non-traditional direct investments, which may provide clients with non-correlated return streams that complement their portfolios and offer additional diversifying characteristics.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million)

We have the ability to serve all markets but we primarily focus on advising to smaller plans.

OPTIONS AVAILABLE

• CRM/data aggregation

• Internal rollover program

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• Consulting on SMAs

• Other Tools

3rd Party Clearing BD: Fidelity, Charles Schwab, TD Ameritrade, Morgan Stanley, Mid-Atlantic Trust Company

home office employees supporting the retirement business

CAFARO GREENLEAF

RED BANK, NJ

KEY CONTACTS

Jamie Greenleaf, Lead Advisor/Principal, (732) 530-8129, jgreenleaf@cafarogreenleaf.com

Brian Clark, Director of Operations, (732) 530-8129, bclark@ cafarogreenleaf.com

WEBSITE CafaroGreenleaf.com

FIRM PROFILE

Cafaro Greenleaf has been a boutique firm of registered investment advisors and retirement plan consultants to corporate, public, and not for profit clients nationwide for over 30 years, with an exclusive focus on retirement plans. Our primary and metro New York offices are located in Red Bank, New Jersey, with additional consultant offices in Massachusetts, Maryland, South Carolina, Florida, and Texas in order to best serve our national client base. Since our founding in 1981, we have become one of the foremost authorities in the retirement plan space, and are widely recognized as experts and leaders in the industry.

Our founder, Dorann Cafaro was an early pioneer in the modern day retirement plan industry; among the architects of National Retirement Partners (NRP), a national network of independent retirement experts; a founding board member of the Institutional Retirement Income Research Council (IRIRC), whose overall mission is to support and facilitate the culture shift of retirement plans; a member of the DC Plan Investment Council; the national “Retirement Advisor of the Year” awarded by PlanSponsor magazine; and was inducted to the PlanSponsor “Hall of Fame” of Retirement Advisors, in 2011.

Cafaro Greenleaf strives to assure that our retirement plan Trustees have a process in place to achieve top plan and investment performance; while also being able to attract and retain the very best employees with the most appropriately designed, cost-effective, and legally compliant plans; and that our plan participants are able to achieve all of their financial goals in retirement.retirement.

PRIMARY MARKET(S) SERVED

Small ($1 million - $10 million), Mid ($10 million - $100 million), Large ($100 million - $250 million)

OPTIONS AVAILABLE

• Business development consultants

• Recruiter for retirement plan advisors

• Participant advice/participant services

• Allows fiduciary declaration 3(21)/3(38)

• Plan design consulting

• Plan sponsor fiduciary training

• Stable value analysis

3rd Party Clearing BD: American Portfolios

home office employees supporting the retirement business

CG maintains a broker-dealer affiliation for those staff members with securiites licenses. Virtually all of our fee revenue comes through our RIA - Greenleaf Advisors LLC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

FAIRFIELD, IA

KEY CONTACTS

Colleen Bell, (800) 777-6080,colleen.bell@cir2.com

Mark Thornton, (800) 777-6080, mark.thornton@cir2.com

Kyle Selberg, (877) 688-2369, kyle.selberg@cir2.com.

WEBSITE joincambridge.com

FIRM PROFILE

Cambridge Investment Group, Inc. is a privately-controlled firm with a national reach across the financial services industry consisting of multiple broker-dealers and RIAs, including: Cambridge Investment Research Advisors, Inc. – a large corporate RIA; and Continuity Partners Group, LLC – a special purpose broker-dealer and registered investment advisor; and Cambridge Investment Research, Inc. – an independent broker-dealer, member FINRA/SIPC, that is among the largest privatelycontrolled independent broker-dealers in the country supporting over 3,000 independent financial professionals nationwide who serve their clients as registered representatives and investment advisor representatives, choosing to use either Cambridge’s firm Registered Investment Adviser or their own. For more information visit www.joincambridge.com.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million$100 million), Large ($100 million - $250 million)

OPTIONS AVAILABLE

• Retirement sales desk representatives

• Business development consultants

• Recruiter for retirement plan advisors

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• Benchmarking tools

• Participant advice/participant services

• CRM/data aggregation

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) - in-house or outsourced

• Plan design consulting

• Consulting on SMAs

3rd Party Clearing BD: Mid-Atlantic, Matrix, Pershing, and NFS

700

home office employees supporting the retirement business

CAPTRUST

RALEIGH, NC

® 214

KEY CONTACTS

Rick Shoff, (215) 348-8811 x15112, rick.shoff@captrustadvisors.com

WEBSITE CAPTRUSTAdvisors.com

FIRM PROFILE

CAPTRUST specializes in providing retirement plan and investment advisory services to retirement plan fiduciaries, executives, and high-net-worth individuals.

PRIMARY MARKET(S) SERVED

Small ($1 million - $10 million), Mid ($10 million - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

OPTIONS AVAILABLE

• Benchmarking tools

• Participant advice/participant services

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) - in-house or outsourced

• Plan design consulting

• Plan sponsor fiduciary training

• Stable value analysis

• Minimum fee schedules

home office employees supporting the retirement business

CBS FUNDING, INC. CLEVELAND,

CBIZ RETIREMENT PLAN SERVICES

OH

KEY CONTACTS

Brian Dean, (216) 520-6178, bdean@cbiz.com

Luke Baum, (216) 525-7363, lbaum@cbiz.com

WEBSITE cbiz.com/retirement

FIRM PROFILE

At CBIZ Retirement Plan Services we offer a complete suite of retirement solutions designed to help plan sponsors fulfill fiduciary duties and offer a compliant, reasonably priced plan to participants. Offering actuarial, administration and advisory services from over twenty locations, our team is focused on delivering tools to plan sponsors so that they can offer best in class retirement plans to employees. Our strength lies in our team of experts and our ability to find flexible solutions to solve even the most complex retirement plan problems.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million), Large ($100 million - $250 million)

CBIZ Retirement Plan Services has the capabilities to assist plans of any sizes, from startups to micro and small plans, to mid to large clients. We are also able to help with a large variety of plans, including 401(k), 403(b), 457, cash balance and pension plans.

OPTIONS AVAILABLE

• Other tools

• Benchmarking tools

• Participant advice/participant services

• CRM/data aggregation

• Internal rollover program

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) - in-house or outsourced

• Plan design consulting

• Consulting on SMAs

• Plan sponsor fiduciary training

• Stable value analysis

• Minimum fee schedules

We offer investment advice, fees & expense monitoring, compliance services, mergers & acquisitions/conversions solutions, fiduciary governance training, and a range of participant help services through our advisory solutions.

3rd Party Clearing BD: NFS

home office employees supporting the retirement business

BROADVIEW

KEY CONTACTS

HEIGHTS,, OH

Steve J. Persons, (440) 717-1600, spersons@cbsfunding.net Marylis A Wozniacki, (248) 328-8611, marylis@cbsfunding.net Sharon M. Stadul, (440) 717-1600, sstadul@cbsfunding.net

WEBSITE CBS-Funding.net

FIRM PROFILE

CBS Funding, Inc. provides fund selection, portfolio design, asset allocation and participant education services to sponsors of qualified retirement plans. CBS Funding assists Plan Sponsors in writing their ERISA required Investment Policy Statement and in reducing their fiduciary liability through compliance with ERISA and the Department of Labor’s regulations regarding qualified plan assets.

CBS Funding designs various lifestyle portfolios suitable for participants who classify their investment styles as conservative, moderate or aggressive. CBS Funding will conduct group meetings with the participants to educate them on how mutual funds operate, the relationship between risk and reward, the power of compound interest, as well as explaining the characteristics of each individual mutual fund being offered and the lifestyle portfolios. CBS Funding is available to individual participants to assist them in determining a proper asset allocation for their plan investments

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million)

OPTIONS AVAILABLE

• Participant advice/participant services

• Custom risk based/target date models

• Plan design consulting

• Minimum fee schedules

3rd Party Clearing BD: N/A

4home office employees supporting the retirement business

CETERA FINANCIAL GROUP

EL SEGUNDO, CA

KEY CONTACTS

Jon Anderson, jon.anderson@cetera.com

Guy Hocker, guy.hocker@cetera.com Jillian White, jillian.white@cetera.com

WEBSITE cetera.com

FIRM PROFILE

Cetera Financial Group (“Cetera”) is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country. Cetera is the second-largest independent financial advisor network in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions.

Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established brokerdealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million), Large ($100 million - $250 million)

OPTIONS AVAILABLE

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• 408(b)(2) - In-house or outsourced

• Actuarial service

• Administrative work

• Allows fiduciary declaration 3(21)/3(38)

• Business development consultants

• Benchmarking tools

• Consulting on SMAs

• CRM/data aggregation

• In-house TPA

• Minimum fee schedules

• Other tools

• Participant advice/participant services

• Plan design consulting

• Plan sponsor fiduciary training

• Preferred provider program

• Stable value analysis

• Providing plan design consulting

• Retirement sales desk representatives

3rd Party Clearing BD: N/A

40

CLEARVIEW ADVISORY

ATLANTA, GA

KEY CONTACTS

Gregory Fiore, Managing Partner

Jennifer Pearson, Lead Consultant

Edward Wojton, Lead Consultant

WEBSITE clearviewadvisory.com

FIRM PROFILE

Clearview Advisory is focused on employer-sponsored retirement plans. We offer consulting services for defined contribution and defined benefit plans in all market sizes. Our clients are located throughout the United States.

We assist in all aspects of operating a retirement plan and share fiduciary responsibility with our clients. As a boutique consulting firm, we are able to conduct truly comprehensive analysis. Together, we face the challenges of offering a retirement plan and focus our expertise on helping employers provide an effective and meaningful benefit.

PRIMARY MARKET(S) SERVED

Mid ($10 million - $100 million)

OPTIONS AVAILABLE

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• Benchmarking tools

• Participant advice/participant services

• CRM/data aggregation

• Allows fiduciary declaration 3(21)/3(38)

• 408(b)(2) - In-house or outsourced

• Plan design consulting

• Plan sponsor fiduciary training

home office employees supporting the retirement business

• Stable value analysis

3rd Party Clearing BD: N/A

COMMONWEALTH FINANCIAL NETWORK

WALTHAM, MA

KEY CONTACTS

Kathleen Roche, VP, Retirement Consulting Services, (781) 529-9476, kroche@commonwealth.com

Paul Mahan, Senior VP, Retirement Consulting Services, (800) 237-0081, pmahan@commonwealth.com

WEBSITE Commonwealth.com

FIRM PROFILE

As the nation’s largest privately held independent broker/dealer–RIA, Commonwealth has the expertise and resources to help advisors succeed with all aspects of their retirement plan practice. Our in-house team of specialists provides one-on-one consultation on everything from marketing strategies to plan management methodologies to participant communications. Innovative resources include an online dashboard for monitoring retirement savings success rates for plan participants and assisting transitioning employees with rollover decisions; and a convenient, affordable education and certification curriculum for advisors who require fiduciary training. Investment research capabilities, an open product platform, and five affiliation choices round out our commitment to continuously evolve the most competitive, progressive retirement plan service model in the industry.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million), Large ($100 million - $250 million)

OPTIONS AVAILABLE

• Preferred provider program

• Retirement sales desk representatives

• Business development consultants

• Recruiter for retirement plan advisors

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• Other tools

• Benchmarking tools

• Participant advice/participant services

• CRM/data aggregation

• Internal rollover program

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) - in-house or outsourced

• Plan design consulting

• Consulting on SMAs

• Plan sponsor fiduciary training

• Stable value analysis

3rd Party Clearing BD: National Financial

COONEY FINANCIAL ADVISORS INC

MARLTON, NJ

KEY CONTACTS

Tom Cooney, (856) 988-0688, tomc@cooneyadvisors.com Sean Cooney, (856) 988-0688, seanc@cooneyadvisors.com

WEBSITE cooneyadvisors.com

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million)

OPTIONS AVAILABLE

• Participant advice/participant services

• Allows fiduciary declaration 3(21)/3(38)

• Plan design donsulting

3rd Party Clearing BD: N/A 25

home office employees supporting the retirement business

DIRECT RETIREMENT SOLUTIONS

ALBANY, NY

KEY CONTACTS

Jeffrey Bennett, (866) 796-1173, jeff@directretirement.net

Thomas Santa Barbara, (866) 796-1173, tom@directretirement.net

WEBSITE directretirement.net

FIRM PROFILE

Fee based only independent investment advisory practice focused exclusively on qualified retirement plans. Specialist in Davis-Bacon and state prevailing wage strategies.

PRIMARY MARKET(S) SERVED

Small ($1 million - $10 million), Mid ($10 million - $100 million)

OPTIONS AVAILABLE

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• Benchmarking tools

• Participant advice/participant services

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) - in-house or outsourced

• Plan design consulting

• Plan sponsor fiduciary training

• Stable value analysis

• Minimum fee schedules

• In-house general ERISA counsel

3rd Party Clearing BD: N/A

home office employees supporting the retirement business

fiducia GROUP

FIDUCIA GROUP, LLC

PITTSBURGH, PA

KEY CONTACTS

Charley Kennedy, Principal Jim Bartoszewicz, Principal Mark Hutter, Principal

WEBSITE fiduciaretirement.com

FIRM PROFILE

SEC registered investment advisor providing retirement committees all of the resources needed to improve participant outcomes and fiduciary processes. Our consulting is delivered exclusively by firm principals and 100% of our revenues are derived from servicing workplace retirement plans.

PRIMARY MARKET(S) SERVED

Mid ($10 - $100 million), Large ($100 - $250 million)

OPTIONS AVAILABLE

• 3rd party investment analysis tool

• Benchmarking tools

• Participant advice/participant services

• Allows fiduciary declaration3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) – in-house or outsourced

• Plan feature review/plan design consulting

• Plan sponsor fiduciary training

• Stable value analysis

• Minimum fee schedules

GLOBAL RETIREMENT PARTNERS ADVISOR ALLIANCE

CARLSBAD, CA

KEY CONTACTS

Bill Chetney, (949) 359-0020, bill.chetney@grpaa.com

Christopher Giles, (949) 359-0023, christopher.giles@grpaa.com

Amy Glynn, (617) 834-0900, amy.glynn@grpaa.com

Doug Nolte, (949) 359-0033, doug.nolte@grpaa.com

Jim Owen, (949) 359-0035, jim.owen@grpaa.com

Geoff White, (949) 359-0031, geoff.white@grpaa.com

WEBSITE GRPAA.com

FIRM PROFILE

Global Retirement Partners Advisor Alliance (GRPAA) is a growing organization of 250 advisors’ with over 200 billion in AUA. We use our strength to right-price programs and design services ranging from Financial Wellness to CIT’s that have a positive impact on advisor practices and participant outcomes. GRPAA fosters a deep sense of community sharing best practices and working across the industry with key advisors, organizations and governmental agencies to drive innovation while creating opportunities for education and brainstorming at events nationwide. GRPAA members benefit by aligning with a trusted brand whose sole focus is helping advisors grow their value proposition.

OPTIONS AVAILABLE

• Exclusive access to GRPAA CIT’s

• Exclusive access to GRPAA’s advisor centric financial wellness platform

• Members only national conference and study groups

• Retirement business consultants

• Recruiter for retirement plan advisors

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• Benchmarking tools

• Participant advice/participant services

• CRM/ data aggregation

• Internal rollover program

• Allows fiduciary declaration3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) - in-house or outsourced

• Plan feature review/plan design consulting

• Consulting on SMAs

• Plan sponsor fiduciary training

• Stable value analysis

• In-house ERISA council

• Innovative small market product MEP/PEP

3rd Party Clearing BD: N/A

GORDON ASSET MANAGEMENT, LLC

DURHAM, NC

KEY CONTACTS

Joe Gordon, (919) 313-6666, joe.gordon@wealthqb.com Russell Smith, (919) 313-6657, russell.smith@wealthqb.com Mike Hensley, (919) 313-6665, mike.hensley@wealthqb.com Greg Rhinehardt, (919) 313-6659, greg.rhinehardt@wealthqb.com

WEBSITE wealthqb.com

FIRM PROFILE

Gordon Asset Management, LLC (“GAMLLC”) is an independent investment advisor, registered with the Securities and Exchange Commission, located in the Raleigh-Durham & Chapel Hill area of North Carolina. GAMLLC focuses primarily on two distinct areas of investment advice: Retirement Plan Consulting for businesses and Wealth Management for high net-worth/high income individuals. The firm offers a wide array of fiduciary governance services to 401(k) and other retirement plan sponsors ranging from plan menu investment selection & monitoring, IPS oversight, policing default investment selection and monitoring, and is a fiduciary either with discretion under ERISA 3(38) or without discretion under ERISA 3(21), having done so since the early ‘90’s. The firm annually audits all plan expenses with complete transparency and provides rigorous plan design to control plan funding costs. The firm is CEFEX - certified as an investme nt adviser, since 2008.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million), Large ($100 million - $250 million)

OPTIONS AVAILABLE

• Benchmarking tools

• Participant advice/participant services

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) - in-house or outsourced

• Plan design consulting

• Plan sponsor fiduciary training

• Stable value analysis

3rd Party Clearing BD: N/A

home office employees supporting the retirement business

INDEPENDENT FINANCIAL PARTNERS

TAMPA, FL

KEY CONTACTS

Kim Shaw Elliott, (813) 341-0960, kim.shaw.elliott@ifpartners.com Ignacio Morrell, (813) 341-0960, ignacio.morrell@ifpartners.com

WEBSITE ifpartners.com

FIRM PROFILE

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

OPTIONS AVAILABLE

• Retirement sales desk representatives

• Business development consultants

• Recruiter for retirement plan advisors

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• Other tools

• Benchmarking tools

• Participant advice/participant services

• CRM/data aggregation

• Internal rollover program

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) - in-house or outsourced

• Plan design consulting

• Consulting on SMAs

• Plan sponsor fiduciary training

• Stable value analysis

3rd Party Clearing BD: LPL

INSTITUTIONAL INVESTMENT CONSULTING

BLOOMFIELD HILL, MI

KEY CONTACTS

Michael Kozemchak, (248) 339-9808, mkozemchak@iic-usa.com Paul Stephens, (248) 339-9806, pstephens@iic-usa.com

Tony Ciocca, (203) 907-3532, tciocca@iic-usa.com Greg Cimmino, (203) 907-3532, gcimmino@iic-usa.com

WEBSITE iic-usa.com

FIRM PROFILE

Institutional Investment Consulting (IIC) is a national, objective, single-source provider of institutional investment consulting services that provides fiduciary and non-fiduciary, qualified and nonqualified, consulting services. IIC has worked with plans representing over $40 billion in retirement plan assets. Acting as an extension of your finance and benefits teams, IIC assists committees in proactively managing all plan related responsibilities and provides comprehensive vendor management services.

IIC’s structure provides clients with a single point of contact and a team project leader with unlimited access to all of the specialized services a retirement plan sponsor needs. IIC has detailed knowledge relating to virtually all of the major retirement plan providers, and have allegiances to none. IIC specializes in providing the following DC, DB and NQDC services: Benchmark Studies, Vendor Search Projects, Vendor Management, Targeted Re-Negotiation, Service Agreement and Contract Negotiations, Comprehensive Ongoing Consulting, Investment Selection and Monitoring, and Fiduciary Education and Corporate Governance Support IIC has conducted over $40 billion in benchmark, search, and renegotiation projects the last 24 months. With these projects, IIC has developed one of the richest retirement plan vendor RFP pricing and business terms databases in the country, which is leveraged for the benefit of all our clients to achieve the most competitive RFP and re-negotiation results possible.

PRIMARY MARKET(S) SERVED

OPTIONS AVAILABLE

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IRON FINANCIAL

LATUS GROUP, LTD. NORTHBROOK, IL

KEY CONTACTS

Richard Friedman, (847) 715-3204, rpf@ironfinancial.com

Steven Weil, (847) 715-3206, sweil@ironfinancial.com Deana Demir, (847) 715-3228, deana.demir@ironfinancial.com

WEBSITE ironfinancial.com

FIRM PROFILE

IRON Financial, LLC is an independent asset management firm. Founded in 1994, IRON Financial has successfully managed a series of liquid alternative and enhanced return strategies for financial intermediaries, and has provided fiduciary and retirement solutions to a wide range of defined contribution plans and investment intermediaries.

We manage investment portfolios across both core and alternative asset classes, and deliver comprehensive solutions to the qualified retirement plan marketplace.

For more information about IRON Financial, visit www.ironfinancial.com.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million)

OPTIONS AVAILABLE

• CEFEX Certified 3(38) Investment Fiduciary

• Retirement sales desk representatives

• 3rd party investment analysis tool

• Participant advice/participant services

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• Plan design consulting

• Plan sponsor fiduciary training

3rd Party Clearing BD: N/A

LAS VEGAS, NV

KEY CONTACTS

David J. Segarra, (702) 922-7820 x401, davids@latus-group.com

WEBSITE latus-group.com

FIRM PROFILE

Latus Group is a Corporate Retirement Plan Consulting firm focused on providing financial and retirement planning solutions to companies and their employees throughout the United States. The firm prides itself on delivering a personalized experience to every client relationship, built upon trust, education, and total fee transparency. Our consulting team represents a very diverse background of experienced independent financial advisers that bring peace of mind to your company retirement plan through extensive Investment due diligence, fiduciary training programs, participant advice and education, provider benchmarking, and effective plan design.

Members of the Latus Group team have been honored in the 2016 Financial Times Top 401 Advisers, and selected as one of the Nation’s 200 Elite 401(k) Plan Advisers to brief congressional leaders about the future of the retirement savings industry and how proposed laws and regulations will affect American Workers’ retirement security. We invite you to learn more about the Latus Group process for making your retirement plan a great success.

PRIMARY MARKET(S) SERVED

Small ($1 million - $10 million), Mid ($10 million - $100 million), Large ($100 million - $250 million)

OPTIONS AVAILABLE

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• Benchmarking tools

• Participant advice/participant services

• Allows fiduciary declaration 3(21)/3(38)

• Plan design consulting

• Plan sponsor fiduciary training

• Minimum fee schedules

3rd Party Clearing BD: Centaurus Financial, Inc.

LPL FINANCIAL

SAN DIEGO, CA

KEY CONTACTS

David Reich, (858) 909-7010, david.reich@lpl.com

Emily White, (858) 779-5733, emily.white@lpl.com

Stefanie Rzepecki, (857) 205-9958, stefanie.rzepecki@lpl.com

WEBSITE lpl.com

FIRM PROFILE

LPL Retirement Partners is the retirement plan-focused division of LPL Financial LLC (“LPL Financial), supporting the operational and practice management needs of retirement plan advisors who offer consulting and related retirement plan services to plan sponsors and their employees.

LPL Financial, a wholly owned subsidiary of LPL Financial Holdings Inc. (NASDAQ: LPLA), is the nation’s largest independent broker/dealer (based on total revenues, Financial Planning magazine, June 1996–2016), an RIA custodian, and an independent consultant to retirement plans. LPL offers proprietary technology, comprehensive clearing and compliance services, practice management programs and training, and independent research to more than 14,000 financial advisors and approximately 700 financial institutions.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

OPTIONS AVAILABLE

• Retirement sales desk representatives

• Business development consultants

• Recruiter for retirement plan advisors

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• Other tools

• Benchmarking tools

• Participant advice/participant services

• CRM/data aggregation

• Internal rollover program

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) - in-house or outsourced

• Plan design consulting

• Stable value analysis

Securities and advisory services offered through LPL Financial. A registered investment advisor, member FINRA/SIPC

3rd Party Clearing BD: N/A

M FINANCIAL GROUP

PORTLAND, OR

KEY CONTACTS

Ivana Polonijo, ivana.polonijo@mfin.com Shelley Sievers, shelley.sievers@mfin.com

WEBSITE MFin.com

FIRM PROFILE

With 155 Member Firms in 40 states, the United Kingdom, and United Arab Emirates, M Financial Group is one of the nation’s leading financial services design and distribution companies. Since 1978, M Financial’s network of independent insurance, investment, and executive benefit firms has served the needs of ultra-affluent individuals, corporate executives, successful entrepreneurs, and Fortune 1000 companies.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million)

OPTIONS AVAILABLE

• Preferred provider program

• Retirement sales desk representatives

• Business development consultants

• Recruiter for retirement plan advisors

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• Benchmarking tools

• CRM/data aggregation

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) - in-house or outsourced

3rd Party Clearing BD: M Holdings Securities, Inc.

MARIETTA WEALTH

MARIETTA, GA

KEY CONTACTS

Scott Keller, (404) 549-6930, scott@mariettawealth.com Wes Hackney, (404) 549-6930, wes@mariettawealth.com

WEBSITE mariettawealth.com

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million)

OPTIONS AVAILABLE

• Allows fiduciary declaration 3(21)/3(38)

• Plan design consulting

3rd Party Clearing BD: N/As

5home office employees supporting the retirement business

MARINER RETIREMENT ADVISORS

LEAWOOD, KANSAS

KEY CONTACTS

David Stofer, (913) 378-9144, david.stofer@marinerretirement.com Mark Nothnagel, (913) 378-9145, mark.nothnagel@marinerretirement.com Dawn McPherson, (913) 378-9149, dawn.mcpherson@marinerretirement.com

WEBSITE MarinerRetirement.com

FIRM PROFILE

Mariner Retirement Advisors provides advisory services to retirement plan sponsors with a goal of improving employees’ retirement readiness and enhancing clients’ benefits packages. Mariner Retirement Advisors provides a wide range of services, including: plan design consulting, investment selection, asset allocation, ERISA compliance, investment policy statement preparation and maintenance, and fiduciary support.

PRIMARY MARKET(S) SERVED

Small ($1 million - $10 million), Mid ($10 million - $100 million), Large ($100 million - $250 million)

OPTIONS AVAILABLE

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• Other tools

• Benchmarking tools

• Participant advice/participant services

• CRM/data aggregation

• Allows fiduciary declaration 3(21)/3(38)

• Plan design consulting

• Consulting on SMAs

• Plan sponsor fiduciary training

• Stable value analysis

• Minimum fee schedules

10

• Participant education and communication

• In-depth plan reporting

• Including retirement readiness analysis

• Financial wellness program

• Online data aggregation via eMoney

3rd Party Clearing BD: N/A

home office employees supporting the retirement business

MORGAN STANLEY

NEW YORK, NY

KEY CONTACTS

Melissa Cowan, (646) 536-0091, melissa.cowan1@morganstanley.com Eric Garofalo, (646) 536-0114, eric.garofalo@morganstanley.com

WEBSITE morganstanley.com

FIRM PROFILE

Morgan Stanley and Graystone Consulting provide industry-leading retirement strategies for every client and individual we serve. Our commitment to Plan Sponsors is to provide objectivity, independence, transparency, and maintain high standards of professional conduct in the services we provide. We consult on the needs of both Plan Sponsors and their employees. We help Plan Sponsors advance their retirement programs through insight on investments, plan features, participant behavior and regulatory updates.

Backed by the global resources of Morgan Stanley and with specific training in the standards of financial prudence and fiduciary requirements Plan Sponsors must meet, a Morgan Stanley Financial Advisor can provide Plan Sponsors with a reliable process to create and regularly update their plan’s investment policy statement, choose and monitor the plan’s investments, conduct service provider searches, provide customized benchmarking reports, and share best practices in working with an investment committee. Our goal is to help Plan Sponsors deliver a robust set of investment choices and a first-class experience to plan participants. Value and service excellence are core to our goals for Plan Sponsors and their employees.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

OPTIONS AVAILABLE

• Retirement sales desk representatives

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• Benchmarking tools

• CRM/data aggregation

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• Plan sponsor fiduciary training

• Stable value analysis

• Minimum fee schedules

3rd Party Clearing BD: N/A

NATIONAL PLANNING CORPORATION

EL SEGUNDO, CA

KEY CONTACTS

Frank Hayn, (310) 899-8828, frank.hayn@npholding.com Calvin Nystrom, (813) 880-5362, calvin.nystrom@npholding.com

WEBSITE natplan.com

FIRM PROFILE

NPC is passionate about building and maintaining close relationships with our Advisors and is dedicated to three core initiatives: Technology, Advisory Services and Practice Management. Founded in 1998, and headquartered in El Segundo, California, NPC was created specifically for the independent investment professional.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million)

OPTIONS AVAILABLE

• Preferred provider program

• Retirement sales desk representatives

• Benchmarking tools

• CRM/data aggregation

• Allows fiduciary declaration 3(21)

• 408(b)(2) - in-house

• Plan design consulting

3rd Party Clearing BD: Pershing LLC

home office employees supporting the retirement business

PENSION CONSULTANTS, INC.

SPRINGFIELD, MO

KEY CONTACTS

Brian Allen, (417) 889-4918, brian@pension-consultants.com

Todd Hughes, (417) 889-4918, thughes@pension-consultants.com

Cody Mendenhall, (417) 889-4918, cmendenhall@pension-consultants.com

Rhonda Wright, (417) 889-4918, rwright@pension-consultants.com

WEBSITE pension-consultants.com

FIRM PROFILE

Pension Consultants helps employers provide the best retirement plan to their employees while minimizing employer risk. We are a specialized retirement plan adviser, focused solely on providing performance-driven retirement plan management. Since 1994, we have been providing consultation in the four areas of retirement plan management: ERISA, Investments, Participant and Vendor, and have four distinct teams, each with their own subject matter experts that work with plan sponsors. Each of our professionals is highly specialized, holding JD, CFA®, CFP® or QPA credentials and is dedicated to consulting plan sponsors in their area of expertise.

Today Pension Consultants has grown to serve clients with retirement plans of all sizes and in locations around the Midwest and Southern United States. With that growth, we also stay true to our firm’s core values. Our purpose is “to improve the financial security of American workers” and serves as a constant reminder of who we are as a company and what we are working every day to accomplish. By building into our company culture this idea that we are defined by this one constant, and that everything else should be evolving and improving, we continue to move forward, providing our clients in the retirement planning industry with the high service standards that made us successful in the first place.

CFA® is a trademark owned by CFA Institute. Pension Consultants, Inc. is registered with U.S. Securities and Exchange Commission as an investment adviser.

PRIMARY MARKET(S) SERVED

Mid ($10 million - $100 million), Large ($100 million - $250 million)

OPTIONS AVAILABLE

• Business development consultants

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• Benchmarking tools

• Participant advice/participant services

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• Plan sponsor fiduciary training

• Stable value analysis

• Minimum fee schedules

3rd Party Clearing BD: N/A

22 home office employees supporting the retirement business

PENSIONMARK FINANCIAL GROUP

SANTA BARBARA, CA

KEY CONTACTS

Troy Hammond, (805) 456-6262, troy.hammond@pensionmark.com

WEBSITE pensionmark.com

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million), Large ($100 million - $250 million)

OPTIONS AVAILABLE

• Retirement sales desk representatives

• Business development consultants

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• Benchmarking tools

• Plan sponsor fiduciary training

3rd Party Clearing BD: N/A

PLEXUS FINANCIAL SERVICES

EL SEGUNDO, CA

KEY CONTACTS

Allison Winge, (847) 317-6127, awinge@plexusfs.com

Keith Hamann, (847) 317-6179, Khamann@plexusfs.com

Pam Appell, (847) 317-6165, pappell@plexusfs.com

WEBSITE plexusfs.com

FIRM PROFILE

We provide independent and objective advice on corporate retirement plan strategies. We collaborate with employers to ensure that those strategic objectives are met, while helping participants pursue their individual goals through their defined contribution, defined benefit and non-qualified plans.

Plexus Financial Services is a 3(21) investment co-fiduciary with our clients, we facilitate the process of constructing the most suitable plan design for their organization. We provide guidance in selecting and maintaining prudent provider platforms for their plan, objectively consult on financial reviews of the plan’s performance, and provide interactive employee education that encourages individual retirement planning participation.

PRIMARY MARKET(S) SERVED

Small ($1 million - $10 million), Mid ($10 million - $100 million)

OPTIONS AVAILABLE

• Business development consultants

• Other tools

• Benchmarking tools

• Participant advice/participant services

• CRM/data aggregation

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) - in-house or outsourced

• Plan design consulting

• Consulting on SMAs

• Plan sponsor fiduciary training

PRECEPT ADVISORY GROUP, LLC

IRVINE, CA

KEY CONTACTS

Marisa Meshot, (949) 679-2147

Linda Bright, (949) 679-2147, lbright@preceptgroup.com

WEBSITE PreceptAdvisory.com

FIRM PROFILE

With over $3 billion in plan assets under management, the mission of Precept Advisory Group, a registered investment advisory firm, is to build and manage customized, competitive, cost-effective, and employeeappreciated retirement plans that integrate with each client firm’s total compensation strategy.

Using a disciplined and metrics-driven process, we deliver services to help clients meet key objectives, including:

• Assisting plan fiduciaries in understanding their roles and responsibilities.

• Establishing and promoting process-centric plan governance committees – maximizing retirement savings outcomes for plan participants while minimizing risk to our client companies.

• Aligning clients with best-fit providers who can partner with Precept Advisory Group to deliver an outstanding investment platform and administrative and participant services at competitive costs.

• Transforming our clients’ plans to meet best practices using an integrated service model approach to plan management – from design consulting to operational and compliance review and ongoing investment due diligence.

• Educating employees and promoting plan benefits to help maximize retirement plan savings to participants. Our ultimate goal – and the highest measure of our success – is to enhance the performance of each participant’s account balance.

Our key deliverable is unbiased, independent advice backed by 70 years of combined experience in investment advisory service, plan consulting, and compliance oversight.

•

• Stable value analysis

• Minimum fee schedules

3rd Party Clearing BD: N/A 5 home office employees supporting the retirement business

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•

•

•

RAYMOND JAMES

ST. PETERSBURG, FL

KEY CONTACTS

Bo Bohanan, (727) 567-5192, Bo.Bohanan@RaymondJames.com

David Drakulich, (727) 567-1067, David.Drakulich@RaymondJames.com Jason Romano, (727) 567-2545, Jason.Romano@RaymondJames.com Retirement Plan Consulting Team, (727) 567-2375, RetirementPlanConsulting@RaymondJames.com

WEBSITE RaymondJames.com

FIRM PROFILE

Raymond James is one of the largest financial services firms in the United States, with the scale and resources to support a wide array of products and services. With more than 10,000 associates worldwide and $500 billion in client assets,* the company’s business includes investments brokerage, professional asset management, insurance solutions, trust services, investment banking, and private and commercial banking.

As financial advisors, we are given flexibility and independence to serve our clients without a corporate “push” of proprietary products. We have access to one of the widest platforms of product choices and account types in our industry with access to over 300 mutual fund families, 51 money managers and 34 insurance carriers

*As of 3/31/2016 The information provided is for informational purposes only and is not a solicitation to buy or sell Raymond James Financial stock.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

OPTIONS AVAILABLE

• Retirement sales desk representatives

• Business development consultants

• Recruiter for retirement plan advisors

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• Participant advice/participant services

• CRM/data aggregation

• Allows fiduciary declaration 3(21)

• 408(b)(2) - in-house or outsourced

3rd Party Clearing BD: N/A 9

RESOURCES

INVESTMENT ADVISORS, INC.

OVERLAND PARK, KS

KEY CONTACTS

Vince Morris, (913) 647-3968, vmorris@bukaty.com John Davis, (913) 258-2839, jdavis@bukaty.com Phil Troyer, (913) 647-3985, ptroyer@bukaty.com

WEBSITE ResourcesInvestmentAdvisors.com

FIRM PROFILE

Resources Investment Advisors, Inc. (RIA) is an SEC-registered investment advisory firm headquartered in Overland Park, Kansas. Since its founding in 1987, the firm has quickly grown into a significant player in the retirement plan advice space. The firm’s President, Vince Morris, has been a recognized leader in the retirement plan industry for many years, and its CCO, Phil Troyer, is an ERISA attorney who previously served as General Counsel for National Retirement Partner’s investment advisory and broker-dealer firms. In recent years, other well-known firms have joined Resources to form a co-op of retirement plan focused advisers who share ideas, resources, and best practices – with more firms joining every year. RIA member firms are able to harness our institutional capabilities and boutique quality service while keeping their own culture and branding. With its depth of knowledge and cooperative approach, Resources is poised for even greater growth in the future.

PRIMARY MARKET(S) SERVED

Mega (>$250 million)

OPTIONS AVAILABLE

• Preferred provider program

• Benchmarking tools

• Participant advice/participant services

• CRM/data aggregation

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) - in-house or outsourced

• Plan design consulting

• Plan sponsor fiduciary training

• Stable value analysis

• Minimum fee schedules

home office employees supporting the retirement business

3rd Party Clearing BD: LPL 45

home office employees supporting the retirement business

RETIREMENT FUND MANAGEMENT

ATLANTA, GA

KEY CONTACTS

Mark McCoy, (770) 399-8803, mark.mccoy@rfm401k.com

WEBSITE RFM401k.com

FIRM PROFILE

Retirement Fund Management is a “fee only” independent investment advisor with no allegiance to any firm’s products or services. Founded in 1996, RFM focuses exclusively on retirement plans in order to provide clients with the highest level of service and expertise. RFM partners with and brings thought leadership to plan committees while acting as an advocate for the participants. RFM is known for its sophisticated internal investment evaluation and innovations, striving to be 3-5 years ahead of the industry. Because we are independent we are able to avoid any potential conflicts of interest that could interfere with our objectivity and our ability to always “do the right thing” for the plan sponsor and participants.

PRIMARY MARKET(S) SERVED

Small ($1 - $10 million), Mid ($10 - $100 million), Large ($100 - $250 million)

OPTIONS AVAILABLE

• Recruiter for retirement plan advisors

• Benchmarking tools

• Participant advice/participant services

• Allows fiduciary declaration3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) – in-house or outsourced

• Plan feature review/plan design consulting

• Plan sponsor fiduciary training

• Stable value analysis

• Minimum fee schedules

• Custom proprietary internal investment analysis

• Fiduciary benchmarks for fee benchmarking

• CEFEX assessments

• Self-assessment of fiduciary excellence (SAFE) assessment

• RFI included in retainer RFP analysis

• Revenue sharing analysis

• Plan health and retirement readiness measurements

• Innovative target date suite analysis

• Pension consulting and IPS focusing on liability matching and return seeking glide path construction

3rd Party Clearing BD: N/A

home office employees supporting the retirement business

ROUSH INVESTMENT GROUP

FRESNO, CA

KEY CONTACTS

Rick Roush, (559) 579-1490, rick@r2ri.com

Brian Traverso, (559) 579-1490, brian@r2ri.com

Jessica Roush, (559) 579-1490, jessica@r2ri.com

WEBSITE roushinvestments.com

FIRM PROFILE

At Roush Investment Group, our team’s passion is to protect our clients and improve their employees’ retirement readiness through pure fiduciary processes.

Our practice expertise is focused in three areas: 1. Proven experience and expertise 2. Local, personalized service with extensive resources 3. Collaboration and fiduciary protection

With a demonstrated track record, we have knowledge of what will work in a retirement plan and what won’t. We have no bias or conflicts and always work in our clients’ best interest.

With over 30 years of roots in the central valley and a true local commitment, we have gained specific experience with establishing goals, strategies, and defined measures for a successful retirement plan.

The depth of our expertise and collaborative efforts are unmatched in our market, and our comprehensive fiduciary process mitigates the business owner’s personal liability and anticipates their evolving needs.

We invite you to meet with us to learn more about what our pure fiduciary advisors can do for you, your family, and your business.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million)

OPTIONS AVAILABLE

• Business development consultants

• 3rd party vendor analysis tool

• Participant advice/participant services

• Allows fiduciary declaration 3(21)/3(38)

• 408(b)(2) - in-house or outsourced

• Plan design consulting

• Plan sponsor fiduciary training

3rd Party Clearing BD: N/A

home office employees supporting the retirement business

SAGEVIEW ADVISORY GROUP

IRVINE, CA

KEY CONTACTS

Randall Long, (800) 814-8742, rlong@sageviewadvisory.com

Jon Upham, (800) 814-8742, jupham@sageviewadvisory.com

WEBSITE sageviewadvisory.com

FIRM PROFILE

PRIMARY MARKET(S) SERVED

Mid ($10 million - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

OPTIONS AVAILABLE

• Business development consultants

• Other tools

• Benchmarking tools

• Participant advice/participant services

• CRM/data aggregation

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• Plan design consulting

• Consulting on SMAs

• Plan sponsor fiduciary training

• Stable value analysis

• Minimum fee schedules

3rd Party Clearing BD: N/A 130

SENTINEL PENSION ADVISORS, INC.

WAKEFIELD, MA

KEY CONTACTS

Jim Carnevale, (781) 914-1218, jim.carnevale@sentinelgroup.com

Eileen Greenspan, (212) 655-0325, eileen.greenspan@sentinelgroup.com

Ryan Campagna, (781) 914-1251, ryan.campagna@sentinelgroup.com

Alan Pfeffer,(516) 414-8311, alan.pfeffer@sentinelgroup.com

WEBSITE sentinelgroup.com

FIRM PROFILE

As one company, we’re working to create peace of mind by enhancing the financial well-being of our clients and their employees

• Over 150,000 plan participants served

• 1,800 retirement plans administered

• 1,500 health & welfare plans administered

• $6 billion in assets under recordkeeping administration

• over $3 billion in assets under advice

• over $150 million in premium under insurance brokerage & insurance advisory services

PRIMARY MARKET(S) SERVED

Small ($1 million - $10 million), Mid ($10 million - $100 million), Large ($100 million - $250 million)

OPTIONS AVAILABLE

• Business development consultants

• Recruiter for retirement plan advisors

• 3rd party investment analysis tool

• Benchmarking tools

• Participant advice/participant services

• CRM/data aggregation

• Internal rollover program

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) - in-house or outsourced

• Plan design consulting

• Consulting on SMAs

• Plan sponsor fiduciary training

• Stable value analysis

home office employees supporting the retirement business

• Minimum fee schedules

3rd Party Clearing BD: N/A

SOLTIS INVESTMENT ADVISORS

ST. GEORGE, UT

KEY CONTACTS

Hal G. Anderson, (435) 674-1600, hal@soltisadvisors.com

Kim Anderson, (435) 674-1600, kim@soltisadvisors.com

Tyler Finlinson, (435) 674-1600, tfinlinson@soltisadvisors.com

Clark Taylor, (435) 674-1600, clark@soltisadvisors.com

WEBSITE soltisadvisors.com

FIRM PROFILE

Soltis Investment Advisors, LLC is a fee-only SEC registered investment advisory firm serving institutional retirement plans and individuals since 1993. Soltis takes a fiduciary role acting in the best interest of clients interests. Our Mission Statement is to “create, build, and manage wealth so our clients are free to pursue life’s most important endeavors.” Soltis is a CEFEX Certified advisory firm and committed to provide the highest level of service to our clientele.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million$100 million), Large ($100 million - $250 million)

OPTIONS AVAILABLE

• Benchmarking tools

• Participant advice/participant services

• CRM/Data aggregation

• Allows fiduciary declaration 3(21)/3(38)

• 408(b)(2) - in-house or outsourced

• Plan design consulting

• Plan sponsor fiduciary training

3rd Party Clearing BD: N/A 19

THE PACIFIC FINANCIAL GROUP, INC. BELLEVUE, WA

KEY CONTACTS

Megan Meade, (425) 451-7722, Megan@tpfg.com Stephanie Larson, (425) 451-7722, StephanieL@tpfg.com

WEBSITE tpfg.com

FIRM PROFILE

The Pacific Financial Group is an asset management firm founded in December of 1984 based in Bellevue, Washington. Two (of our nine) managed strategies go back over 30 years. In addition to our full lineup of traditional money management offerings including SMAs and Managed Portfolios, we have made a name for ourselves with our abilities to add value to reps and clients where other managers cannot; most notably our capabilities in the VA and participant retirement spaces.

We manage assets for individuals, trusts, retirement plans, plan participants, etc. Since 2006, we have focused our efforts on a providing advice within existing retirement plans that offer participants the choice to “self direct” their assets. The self directed arena is the fastest growing part of our business as the opportunity has grown from just a few thousand plans offering self direction to over 80,000 plans.

PRIMARY MARKET(S) SERVED

Mega (>$250 million)

OPTIONS AVAILABLE

• Participant advice/participant services

• Allows fiduciary declaration 3(21)/3(38)

3rd Party Clearing BD: N/A

home office employees supporting the retirement business

home office employees supporting the retirement business

TWELVE POINTS RETIREMENT ADVISORS

BOSTON, MA

KEY CONTACTS

Francesca Federico, (978)318-9503, francesca@twelvepointswealth.com

David Clayman, (978) 318-9502, dave@twelvepointswealth.com

Manny Frangiadakis, (978) 318-9500, manny@twelvepointswealth.com

WEBSITE twelvepointsretirement.com

FIRM PROFILE

Our Mission - Protect Fiduciaries and Improve Participant Retirement Outcomes

Most plan sponsors mistakenly assume their current advisor and/or broker-dealer is a fiduciary when they most likely are not.

Our core competencies:

• DOL 3(21) or 3(38) Fiduciary Investment Services to Plan Sponsors to ensure proper due diligence and process.

• Registered Investment Advisory services offering true independence and objectivity that is conflict-free.

• Rigorous oversight of plan governance to satisfy Department of Labor requirements, including performing a regular competitive RFP process and investment analytics to create an audit trail for the plan sponsor.

• Plan level diagnostics inclusive of quantitative and qualitative metrics to analyze the effectiveness of your plan.

• Regular plan review process to ascertain potential opportunities for improvement of investment options and cost savings.

• Advice on how to increase plan participation, auto-enrollment and company matches.

• Educational workshops to help employees: learn how to save for retirement, make prudent financial decisions through one-on-one personal financial planning sessions and GAP analysis to improve individual participant retirement outcomes.

PRIMARY MARKET(S) SERVED

OPTIONS AVAILABLE

•

•

•

•

•

• CRM/data aggregation

• Internal rollover program

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) - in-house or outsourced

• Plan sponsor fiduciary training

3rd Party Clearing BD: N/A

12home office employees supporting the retirement business

UBS FINANCIAL SERVICES

WEEHAWKEN, NJ

KEY CONTACTS

Mark Barnum, Director of Business Development, (425) 990-2768 Gene Silverman, Head of Corporate Retirement Plans, (201) 352-3826

WEBSITE UBS.com/RPCS

FIRM PROFILE

UBS has a proven record in retirement plan consulting with more than 30 years of experience providing investment advice as a fiduciary. Through our Institutional Consulting and Retirement Plan Consulting Services programs, we provide advisory services to more than 1,800 retirement plans comprising over $65 billion in assets.

We aim to be the firm of choice for retirement plan consultants. We have a true open architecture platform enabling consultants to deliver services based on client needs. We recognize dedicated consultants with a Senior Retirement Plan Consultant designation, giving them access to advanced training, specialized services and resources that help address a broad array of plan client needs related to fiduciary governance, plan health and participant retirement readiness.

UBS Retirement Plan Consultants are supported by one of the world’s leading wealth managers. We combine our retirement plan consulting capabilities with our broad financial experience to help plan sponsors manage plan complexity and provide participants with relevant education.

Retirement Plan Consultants also benefit by working with UBS’s national network of wealth management financial advisors.

PRIMARY MARKET(S) SERVED

Small ($1-$10 million), Mid ($10-$100 million), Large ($100-$250 million)

OPTIONS AVAILABLE

• Retirement sales desk reps

• Business development consultants

• Recruiter for retirement plan advisors

• 3rd party vendor analysis tool

• 3rd party investment analysis tool

• Benchmarking tools

• Allows fiduciary declaration3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) – in-house or outsourced

• Plan feature review/plan design consulting

• Plan sponsor fiduciary training

• Minimum fee schedules

• PLANavigator

• Financial wellness center for plan participants

WELLS FARGO ADVISORS

ST. LOUIS, MO

KEY CONTACTS

Kelley Hartman, kelley.hartman@wfadvisors.com

Laura Kirkover, laura.kirkover@wfadvisors.com

WEBSITE wellsfargoadvisors.com

FIRM PROFILE

Wells Fargo Advisors Facts at a Glance (as of June 30, 2016)

Executive Summary

Wells Fargo Advisors provides investment advice and guidance to clients through 15,042 Financial Advisors and referrals from 3,900 Licensed Bankers in retail stores across the U.S. Wells Fargo Advisors administers $1.5 trillion in client assets.

Areas of Distinction

• Unique structure and scale that combine the capabilities and best practices available through a large, national firm with a client focus more typical of smaller firms

• Dedicated to Financial Advisors and their relationships with clients

• Unprecedented choice and flexibility for Financial Advisors and their clients through distinct business channels supported by established products, services, and technology

Multichannel Business Model

10,066 Financial Advisors work in the traditional brokerage channel of Wells Fargo Advisors, LLC, with branch offices located in all 50 states and the District of Columbia. In addition, the firm’s in-bank brokerage channel includes 3,446 Financial Advisors and 3,900 Licensed Bankers located in Wells Fargo bank stores. Licensed Bankers are employees of Wells Fargo Bank, N.A., and also registered representatives of Wells Fargo Advisors, LLC. The firm’s Independent Brokerage Group includes Wells Fargo Advisors Financial Network, the firm’s independent representative arm, and First Clearing Correspondent Services, which provides operational, clearing, and consultative services to thousands of financial professionals across the U.S.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million)

OPTIONS AVAILABLE

• Retirement sales desk representatives

• 3rd party investment analysis tool

• Allows fiduciary declaration 3(21)/3(38)

• 408(b)(2) - in-house or outsourced

• Plan design consulting

• Consulting on SMAs

• Plan sponsor fiduciary training

3rd Party Clearing BD: N/A 15 home office employees supporting the retirement business

ARCWOOD FINANCIAL, LLC

PHOENIX, AZ

KEY CONTACTS

Shawn West, (602) 726-6283, shawn@arcwoodfinancial.com

Brandon Oliver, (602) 726-6282, brandon@arcwoodfinancial.com.

Peter Rowe, (602) 726-6284, peter@arcwoodfinancial.com

WEBSITE arcwoodfinancial.com

FIRM PROFILE

An investment management firm that specializes in company sponsored retirement plans. We enable businesses and individuals to manage financial risk by building value through the managing of retirement plan processes and costs on behalf of our clients. With a focus on creating services that are tailored to meet the specific and ever changing regulatory exposure and participant needs facing our clients.

PRIMARY MARKET(S) SERVED

Small ($1 million - $10 million), Mid ($10 million - $100 million)

OPTIONS AVAILABLE

• Preferred provider program

• 3rd party investment analysis tool

• Other tools

• Benchmarking tools

• Participant advice/participant services

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• Plan design consulting

• Plan sponsor fiduciary training

3rd Party Clearing BD: United Planners

CORNERSTONE CAPITAL SYSTEMS

RICHMOND, CA

KEY CONTACTS

George A. Egan, (510) 412-1040, corcap1@pacbell.net

Renee Frakes, (510) 412-1040, corcap2@pacbell.net

WEBSITE corcapsys.com

FIRM PROFILE

Serving clients since 1995 with advanced tax planning and preparation balanced with comphrehensive retirement choices. For “baby boomers” we deliver what is right for you, it takes one to know one.

PRIMARY MARKET(S) SERVED

Small ($1 million - $10 million)

OPTIONS AVAILABLE

• Other tools

• Participant advice/participant services

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models 3rd Party Clearing BD: N/A 10

home office employees supporting the retirement business

INDEPENDENT FINANCIAL GROUP, LLC

SAN DIEGO, CA

KEY CONTACTS

David Fischer, (800) 269-1903, dfischer@ifgsd.com

Jason Benham, (800) 269-1903, jbenham@ifgsd.com

WEBSITE ifgsd.com

FIRM PROFILE

About Independent Financial Group, America’s Finest Broker-Dealer® IFG serves the needs of independent financial advisors nationwide. Renowned for their first-class customer service, the company specializes in individual wealth management and institutional retirement plan solutions for their financial advisors.

IFG’s corporate office now supports more than 600 independent registered representatives across the country. IFG has been named locally by the San Diego Business Journal as one of San Diego’s Fastest-Growing Private Companies for 10th consecutive year and won acclaim in 2006 with their #1 rank on the list.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million)

OPTIONS AVAILABLE

• Preferred provider program

• Retirement sales desk representatives

• Business Development Consultants

• 3rd Party Vendor Analysis Tool

• 3rd Party Investment Analysis Tool

• CRM/Data Aggregation

• Allows Fiduciary Declaration 3(21)/3(38)

• Custom Risk Based/Target Date Models

• 408(b)(2) - In-House Or Outsourced

• Plan Sponsor Fiduciary Training

• Other Tools

3rd Party Clearing BD: Pershing 2

home office employees supporting the retirement business

INVEST FINANCIAL CORPORATION

TAMPA, FL

KEY CONTACTS

Calvin Nystrom, (813) 880-5362, calvin.nystrom@npholding.com

Frank Hayn, (310) 899-8828, frank.hayn@npholding.com

WEBSITE investfinancial.com

FIRM PROFILE

Founded in 1982, INVEST Financial Corporation (www.investfinancial. com) is a full-service broker-dealer that provides investment products and services to independent advisors and financial institutions nationwide. INVEST’s mission is to help make its clients’ lives easier by providing exceptional service, awardwinning technology and a variety of resources that enable profitable growth.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million)

OPTIONS AVAILABLE

• Preferred provider program

• Retirement sales desk representatives

• Benchmarking tools

• Allows fiduciary declaration 3(21)

• 408(b)(2) - in-house

• Plan design consulting

3rd Party Clearing BD: Pershing LLC and National Financial Services

2home office employees supporting the retirement business

INVESTMENT CENTERS OF AMERICA, INC.

BISMARCK, ND

KEY CONTACTS

Calvin Nystrom, (813) 880-5362, calvin.nystrom@npholding.com

Frank Hayn, (310) 899-8828, frank.hayn@npholding.com

WEBSITE investmentcenters.com

FIRM PROFILE

ICA offers both an independent and financial institution channel. Our Financial Solutions Team (comprised of retirement plan and financial planning experts) partners with advisors to discuss individual client solutions for retirement income planning, tax management, investment analysis and social security planning. We also offer hands-on, proactive marketing support including a regional relationship manager and service associate.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million)

OPTIONS AVAILABLE

• Preferred provider program

• Retirement sales desk representatives

• Benchmarking tools

• CRM/data aggregation

• Allows fiduciary declaration 3(21)

• 408(b)(2) - in-house

• Plan design consulting

3rd Party Clearing BD: Pershing LLC

2home office employees supporting the retirement business

PLANTE MORAN FINANCIAL ADVISORS, LLC

SOUTHFIELD, MI

KEY CONTACTS

Susan Shoemaker, (248) 223-3722, Susan.Shoemaker@plantemoran.com Dori Drayton, (616) 643-4030, Dori.Drayton@plantemoran.com

WEBSITE

institutionalinvesting.plantemoran.com

FIRM PROFILE

With more than $11.5 billion in assets under management*, Plante Moran Financial Advisors is one of the nation’s largest independent registered investment advisors (according to Financial Advisor), delivering independent and objective advice to corporate retirement plans, high net worth individuals, family business owners, and not-for-profit organizations. As a top three finalist for the National Association of Plan Advisors’ 2016 401(k) Leadership Award, our institutional investment consulting practice specializes in helping institutional clients meet their fiduciary obligations and help their plan participants achieve success in retirement.

For more information, visit institutionalinvesting.plantemoran.com.

* (Form ADV June 30, 2016)

PRIMARY MARKET(S) SERVED

Small ($1 million - $10 million), Mid ($10 million - $100 million), Large ($100 million - $250 million), Mega (>$250 million)

OPTIONS AVAILABLE

• Other tools

• Benchmarking tools

• Participant advice/participant services

• CRM/data aggregation

• Allows fiduciary declaration 3(21)/3(38)

• Custom risk based/target date models

• 408(b)(2) - in-house or outsourced

• Plan design consulting

• Consulting on SMAs

• Plan sponsor fiduciary training

• Stable value analysis

3rd Party Clearing BD: N/A

SII INVESTMENTS, INC.

APPLETON, WI

KEY CONTACTS

Calvin Nystrom, (813) 880-5362, calvin.nystrom@npholding.com

Frank Hayn, (310) 899-8828, frank.hayn@npholding.com

WEBSITE siionline.com

FIRM PROFILE

Since 1968, our goal at SII has been to provide our registered representatives the tools and services they need to be successful in the financial services industry. We meet this objective by investing in three core initiatives: Technology, Advisory services and practice management.

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million)

OPTIONS AVAILABLE

• Preferred provider program

• Retirement sales desk representatives

• Benchmarking tools

• CRM/data aggregation

• Allows fiduciary declaration 3(21)

• 408(b)(2) - in-house

• Plan design consulting

3rd Party Clearing BD: N/A

home office employees supporting the retirement business

WADDELL & REED, INC.

OVERLAND PARK, KS

KEY CONTACTS

Bill Robertson, (913) 236-1452, broberts@waddell.com

WEBSITE waddell.com

PRIMARY MARKET(S) SERVED

Micro (< $1 million), Small ($1 million - $10 million), Mid ($10 million - $100 million

OPTIONS AVAILABLE

• Retirement sales desk representatives

• Business development consultants

• Recruiter for retirement plan advisors

• 3rd party investment analysis tool

• Benchmarking tools

• CRM/data aggregation

• Custom risk based/target date models

• 408(b)(2) in-house

• Plan design consulting

• Plan sponsor fiduciary training

3rd Party Clearing BD: N/A 1100

home office employees supporting the retirement business

TPAs

A TPA can be a plan advisor’s best friend. But it’s important to understand the various types of TPAs and how to best leverage them depending on the plan profile and size.

The “third-party” harkens back to a realization that these firms, as with recordkeepers generally, provide services to a plan sponsor that plan sponsors once did for themselves. Yes, that was mostly in a time before there were 401(k)s (not to mention daily valuation).

Things have grown significantly more complicated over the years, though and today TPAs not only keep up with participant accounts, they can be an invaluable resource to plan sponsors and advisors on issues like regulatory compliance and plan design.

A TPA can be a plan advisor’s best friend. But it’s important to understand the various types of TPAs and how to best leverage them depending on the plan profile and size.

Our inaugural “Black Book” didn’t include a section on third-party administrators, or TPAs not that we weren’t asked to. The TPAs listed on the pages that follow have a focus on working with advisors. That’s critically important in forming a mutually beneficial partnership predicated on a solid appreciation for what each member brings to the relationship and shared clients.

As with everything in life, the relationship and cultural fit is paramount. And the choice to use a TPA may depend on the size of a plan or the plan sponsor’s particular needs. On the pages that follow, you’ll find the information you need to evaluate the best fit(s) for your practice.

— Nevin Adams

TPA AT-A-GLANCE

Sponsored Plans Supported Total Asset Value of the Employment Based Plans Supported (as of 6/30/16)

Target Maket(s) 401(k) Participants Coverd by the Employment Based Plans Supported (as of 6/30/16)

Alliance Benefit Group Rocky Mountain 1,004 $1.5 Billion 26,000 Plans $20 Million or less ü

Altigro Pension Services, Inc. 823 1 to 500 lives ü

AMI Benefit Plan Administrators, Inc. 600+ Close to $1 Billion

Atlantic Pension Services, Inc. 530

Up to 1,000 participants per plan, $1,000,000 to $50,000,000 in assets. ü

Small to mid-size employers that range in size from 1 - 500 lives. ü

Billings and Company, Inc. 550 $650 Million 30,000 Employers with 25-1,000 employees ü

Boulay Donnelly & Supovitz Consulting Group, Inc.

Small to mid size companies ü

CBIZ Retirement Plan Services 3,800

At CBIZ, we offer unique solutions for the smallest plans to the largest. ü

Cetera Retirement Plan Specialists 1,700 ü

DWC ERISA Consultants, LLC 3,000

Dynamic Pension Services, Inc. 230

Defined contribution and defined benefit plans ranging from 1 - 2,000 participants. ü

Typically less than 120 eligible employees. ü

From only owners all the way up to larger multi-thousand employee businesses. ü Ekon Benefits 358 ü INTAC Actuarial Services 2,800 Small to mid size closely held businesses ü July Business Services 3,200 $2.4 Billion 52,713 JULY predominately services clients $20 million and under. ü Lurie, LLP 500 ü Mrs401k 1,000+ Small companies and the self-employed. ü National Benefit Services LLC 20,000 $2.223 Billion 127,711

Edberg & Perry, Inc. 500

Insurance brokers and financial advisors as well as PEO’s. ü

ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü

TPA AT-A-GLANCE

Sponsored Plans Supported Total Asset Value of the Employment Based Plans Supported (as of 6/30/16)

Target Maket(s) 401(k) Participants Coverd by the Employment Based Plans Supported (as of 6/30/16)

National Retirement Services, Inc. (NRS) 2,000+ 1 - 1,000 participants ü

Noble-Davis Consulting, Inc. 500 Plans with under 100 participants ü

Pension Review Services 250 Micro, small, medium companies ü

Pinnacle Plan Design 950 $1.3 Billion 18,500 ü

Qualified Concepts, Inc. 50 $76 Million 850 Small to mid size businesses, all industries. ü

Qualified Plan Consultants, Inc. 400+ We primarily service small employers with from 1 to 500 employees ü

Rea Consulting Group, LLC 400

Rea Consulting Group serves retirement plans in the start-up to $20 million market. ü

Reed-Ramsey, Inc 135 $700 Million 10,150 National and generally plans with less than 1,000 participant ü

Spectrum Pension Consultants, Inc. 760 $1.6 Billion 23,000 TPA: 25-150 Participants, WA, OR, CA, HI RK+TPA: 50-500 Participants, WA, OR, CA, HI ü

Summit Benefit & Actuarial Services, Inc. 400+ ü

Swerdlin & Company 1,000+ ü

TAG Resources, LLC 800+ $527 Million 28,500 Our target market is retirement benefit plans between $500,000.00 and $50,000,000.00. ü

The MandMarblestone Group LLC 1,500 $2.69 Billion 38,994 Micro through mid-market plans, professional practices and closely held & family owned businesses ü

The Nolan Company 850 Professional practices and small businesses. ü

The Retirement Team, Inc. ü

Trinity Pension Consultants 1,462 ü

TriStar Pension Consulting 250 $200 Million + 10,000+ Micro (<$1million) Small ($1-10 million) Mid ($10 - 100 million) ü

Vantage Benefits Administrators

Employer plans with 100 employees or more. $10 million in assets from all professional service firms. ü

ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü ü

8900 INDIAN CREEK PARKWAY SUITE 200

OVERLAND PARK, KANSAS 66210

TheNolanCompany.com

KEY CONTACTS

Jim Nolan, (913) 647-9311, jim@thenolancompany.com

Julie Lattimer, (913) 647-9312 julie@thenolancompany.com

Since 1979 The Nolan Company has provided clients with cutting edge retirement plan design and administrative services. The vast majority of our clients find us through referrals from financial, accounting, or legal professionals, as well as other clients. Our specialized design and administration services have gained us clients in 49 states. Most of these clients have fewer than 50 employees down to and including those who have only one employee.

The Nolan Company is structured to provide the highest quality services to plan sponsors while maintaining independence and objectivity. We are not paid by or licensed by a financial institution, accounting firm or law firm. Our services are not tied to a specific investment company and we can work with a broad range of plan funding options.

BUSINESS METRICS

COMPANY ESTABLISHED

1979

KINDS OF PLAN SUPPORT

• 401(k)

• Traditional defined benefit

• Cash balance/hybrid

• Profit-sharing

Kansas

STATE(S) THAT WE HAVE A PHYSICAL PRESENCE SPONSORED PLANS SUPPORTED

850

FEE STRUCTURE

We are an independent qualified plan service provider and receive no asset fees and are not owned by any other organization - flat fee, participant fee, special services fee

SERVICE(S) PROVIDED

• Plan design consulting

• Administration

• Non-discrimination testing

• Dsitribution support

• Compliance support

• Actuarial calculations & support

• Form 5500 preparation

Since 1979, The Nolan Company has provided clients with cutting edge retirement plan design and administrative services.

The Nolan Company specializes in independent ministerial record keeping, administration, actuarial, and design services for retirement plans for small businesses and professional practices. This independence and specialization allows us to focus on the needs of our clients to meet their retirement objectives.

In addition to cross tested 401(k) profit sharing plans, we administer both traditional and cash balance defined benefit plans. These can either be standalone or combined with a 401(k) profit sharing plan to maximize benefits and deductions while maintaining flexibility.

T h e Nolan C o m p any

The NolanCom pany.com

ALLIANCE BENEFIT GROUP ROCKY MOUNTAIN

SALT LAKE CITY, UT

KEY CONTACTS

Shawn Oram, (801) 486-3087 x139, shawn@abgrm.com

Fran Mulgrew, (801) 486-3087 x103, fran@abgrm.com

Jessica Wilson, (801) 486-3087 x124, jessica@abgrm.com

Jeff Zobell, (801) 486-3087 x125, jeff@abgrm.com

WEBSITE ABGRM.com

FIRM PROFILE

Founded in 1980, Alliance Benefit Group Rocky Mountain (ABGRM) is an independent TPA based in Salt Lake City, Utah with locations in Denver, Colorado and Great Falls, MT. ABGRM offers recordkeeping and TPA services for ERISA plans, health and welfare benefit plans, 3(16) fiduciary support services, and payroll services. As an organization we firmly believe in offering a high-level quality of service from a highly trained staff. Of the 48 employees 19 are qualified with designations from ASPPA, ranging from Qualified 401(k) Administers (QKA) to Certified Pension Consultants (CPC). Our organization’s primary focus is to offer quality benefit solutions that lead to successful outcomes.

ESTABLISHED

1980

STATE(S) WHERE

HAVE A PHYSICAL PRESENCE

Utah, Montana, Colorado

SPONSORED PLANS SUPPORTED 1004

As of 06/30/16 $1.5 B

As of 12/31/15 $1.2 B

As of 06/30/16 26,000 As of 12/31/15 18,600

KINDS OF PLAN(S) SUPPORTED

401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b), 457, Other DC plans

CUSTODIAN(S) USED

American Fund, Empower, John Hancock, Mass Mutual, Mutual of Omaha, Nationwide, One America, Principal, The Standard, Transamerica, Vanguard, and Voya

FEE STRUCTURE

ABGRM is an explicit fee for service shop, any expense reimbursement received is used to offset our fees and disclosed to plan sponsors.

SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations & support, Form 5500 preparation, Plan benchmarking, QDRO review, Hardship distribution requests, Investment monitoring services, Plan committee meetings, Enrollment meeting support, call center

BPAS

UTICA, NY

KEY CONTACTS

Paul Neveu, (315) 292-6968, pneveu@bpas.com Robert A. Malczyk, (315) 725-1333, rmalczyk@bpas.com

WEBSITE bpas.com

FIRM PROFILE

“BPAS is a national provider of retirement plan administration and related services. We serve more than 4,000 retirement plans and 400,000 participants through partnerships with financial advisors and hold more than $19 billion of assets under custody. Our family of services include: BPAS Plan Administration & Recordkeeping Services, BPAS Actuarial and Pension Services, BPAS TPA Services, BPAS Fiduciary Services, BPAS Healthcare Consulting Services, BPAS VEBA & HRA/HSA Services, BPAS AutoRollovers & MyPlanLoan Services, Hand Benefits & Trust (a BPAS Company), and BPAS Trust Company of Puerto Rico.

With ten offices across the nation and 270 retirement plan professionals, we are committed to “Solving Tomorrow’s Benefit Challenges Today.” Look to BPAS for all of your retirement and benefit plan administration needs.”

ESTABLISHED 1984

CBIZ RETIREMENT PLAN SERVICES

CLEVELAND, OH

KEY CONTACTS

Michael Spickard, (330) 983-0500, mike.spickard@cbiz.com

Richard Harshman, (301) 784-2308, rharshman@cbiz.com

WEBSITE cbiz.com/retirement

FIRM PROFILE

At CBIZ Retirement Plan Services we offer a complete suite of retirement solutions designed to help plan sponsors fulfill fiduciary duties and offer a compliant, reasonably priced plan to participants. Offering actuarial, administration and advisory services from over twenty locations, our team is focused on delivering tools to plan sponsors so that they can offer best in class retirement plans to employees. Our strength lies in our team of experts and our ability to find flexible solutions to solve even the most complex retirement plan problems. ESTABLISHED

As of 12/31/15 830,000

TARGET MARKET(S)

At CBIZ, we offer unique solutions for the smallest plans to the largest. We are also able to assist private, public and non-profit companies and organizations.

KINDS OF PLAN(S) SUPPORTED

401(k), Traditional defined benefit, Cash balance/hybrid, Profitsharing, Money purchase pension, 403(b), 457, Non-qualified deferred compenstion, Other DC plans

CUSTODIAN(S) USED

Alerus, American Century, American Funds, American National, Ascensus, Aspire, AUL, Daily Access, Empower, Fidelity, First Mercantile, Guardian, John Hancock, Lincoln, Mass Mutual, Met Life, Mutual of Omaha, Nationwide, Oppenheimer, Pacific Life, Principal, Prudential, Standard, Symetra, the New England, TIAA-CREF, Trade PMR, Transamerica, Voya

FEE STRUCTURE

Per participant fee, Asset-based SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations & support, Form 5500 preparation, Plan benchmarking, QDRO review, Hardship distribution requests, Target-date fund evaluation tools, Investment monitoring services, Plan committee meetings, employee education, Enrollment meeting support, Call center

RE TIREMENT PLAN SPECIALISTS

CETERA RETIREMENT PLAN SPECIALISTS

WALNUT CREEK, CA

KEY CONTACTS

Guy Hocker, (925) 926-0600, guy.hocker@cetera.com

Alex Petrenko, (925) 926-0600, alex.petrenko@cetera.com

WEBSITE CeteraRetirement.com

FIRM PROFILE

When you choose Cetera Retirement Plan Specialists as your TPA, you are gaining access to a partner with a deep understanding of the savings tools available to business owners. These include 401(k) plans, profit sharing plans, 403(b) plans, traditional defined benefit plans, cash balance defined benefit plans, cafeteria/Section 125 plans and more. This depth of knowledge allows us to support clients as their planning objectives change in different career stages and through varying economic climates.

Our Retirement Plan Consultants have achieved the following designations:

• Certified Pension Consultant (CPC)

• Accredited Pension Administrator (APA)

• Qualified Pension Administrator (QPA)

• Qualified 401(k) Administrator (QKA)

ESTABLISHED

DWC ERISA CONSULTANTS, LLC

ST. PAUL, MN

KEY CONTACTS

Doug Hoefer, (651) 204-2600 x101, dhoefer@dwcconsultants.com

Adam Pozek, (651) 204-2600 x107, adam.pozek@dwcconsultants.com

WEBSITE DWCConsultants.com

FIRM PROFILE

We are strategic, precise and proactive. We should also add expert, timely and thorough to the list. These adjectives characterize the services we provide and the way we manage our business.

The rulebook for our industry is public domain, available to anyone who wants to learn it. That means book knowledge is not enough. We have to be able to explain and apply it in a practical manner.

Our team includes multiple graduate business degrees, 30+ industry designations and 8 ERPAs. Each client is assigned a service team that is responsible for every step of the plan. Our business practices have been certified with the Service Provider Excellence seal by CEFEX.

ESTABLISHED 1999

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE

DWC is a national TPA and services plans in almost every state within the United States; however we have physical presence in the following: Minnesota (headquarters), California, Colorado, Connecticut, Florida, Georgia, Kansas, New Hampshire, New Mexico, North Carolina, Missouri and Oregon.

SPONSORED PLANS SUPPORTED 3000

TARGET MARKET(S)

The DWC target market is defined contribution and defined benefit plans ranging from 1 - 2000 participants.

KINDS OF PLAN(S) SUPPORTED

401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b)

CUSTODIAN(S) USED

DWC does not provide recordkeeping services, thus DWC does not have a preference of custodian

FEE STRUCTURE

DWC’s flat base fee schedule of $1,700 (no per participant fees until above 50 participants) to include the base compliance, government reporting and standard employer contribution calculations that the majority of plans use on an annual basis. Our fee to prepare a plan document is $850 for an IRS-preapproved document. This cost competitive approach allows our fee schedule to be extremely competitive and inclusive for all standard services, rather than using a higher fee schedule that includes services that the majority of plans do not need.

SERVICE(S) PROVIDED

Compliance/nondiscrimination testing, plan design consulting, Form 5500 preparation, IRS/DOL audit support, plan corrections, QDRO review, plan committee meeting support

JULY BUSINESS SERVICES

WACO, TX

KEY CONTACTS

Blake Willis, (888) 333-5859 x3105,bwillis@julyservices.com Michelle LeCates, (888) 333-5859 x3188, mlecates@julyservices.com

WEBSITE JulyServices.com

FIRM PROFILE

July Business Services (JULY) is a retirement and payroll services company that partners with financial advisors and third party administrators nationwide to design and implement successful retirement plan strategies for their clients. JULY derives its strength from decades of hands-on experience and from our customer-first approach to helping clients meet their goals. Since 1994 we’ve built long-lasting business relationships through our guiding principles: uncompromising excellence, servant’s heart and collaborative spirit.

Compliance

testing, plan design consulting, plan audit support, actuarial calculations & support, Form 5500 preparation, plan benchmarking, QDRO review, hardship distribution requests, employee education, enrollment meeting support, call center, recordkeeping, participant website, plan sponsor website, smartphone app, retirement readiness tool, and online transactions

TAG RESOURCES, LLC

KNOXVILLE, TN

KEY CONTACTS

Derren Burrell, (865) 670-1844 x251, derren@tagresources.com Neil Farnsworth, (865) 670-1844, neil@tagresources.com

WEBSITE tagresources.com

FIRM PROFILE

TAG Resources strives to provide a comfortable retirement for all employees by providing employers of all sizes with the market’s most comprehensive end-to-end retirement program. TAG’s Plans are easy to administer, consistently compliant, risk managed and cost competitive.

ESTABLISHED 2001

STATE(S)

WHERE WE HAVE A PHYSICAL PRESENCE

Our office is in Knoxville, Tennessee. We work with Financial Advisors in all 50 states.

SPONSORED PLANS SUPPORTED 800+

TOTAL ASSET VALUE OF THE EMPLOYMENT BASED PLANS SUPPORTED

As of 06/30/16 $527 MM

As of 12/31/15 $487 MM

PARTICIPANTS COVERED BY THE EMPLOYMENT BASED PLANS SUPPORTED

As of 06/30/16 28,500 As of 12/31/15 27,200

TARGET MARKET(S)

Our target market is retirement benefit plans between $500,000.00 and $50,000,000.00.

KINDS OF PLAN(S) SUPPORTED

401(k), Cash balance/hybrid, Profit-sharing, 403(b), 457

CUSTODIAN(S) USED

Transamerica, Lincoln Financial, Betterment for Business, Nationwide, Ascensus, Fidelity, Principal FEE STRUCTURE

Asset-based, Invoice based administrative fees

SERVICE(S) PROVIDED

Compliance support, Processing of loan applications, Non-discrimination, testing, Plan design consulting, Plan audit support, Form 5500 preparation, plan benchmarking, QDRO review, Hardship distribution requests, Investment monitoring services, Plan committee meetings, Employee education

VANTAGE BENEFITS ADMINISTRATORS

DALLAS, TX

KEY CONTACTS

Director of Marketing, (800) 337-8005, marketing@vantagebenefits.com Director of Business Development, (972) 354-5200, marketing@vantagebenefits.com

WEBSITE vantagebenefits.com

FIRM PROFILE

Vantage Benefits is a full-service Third Party Administrator specializing in corporate benefit programs. We are independent of all insurance companies and investment product providers. We provide a one-source solution platform for benefits administration, reducing the cost and risk of managing benefits. Our unbiased approach puts the best interests of plan participants first.

ESTABLISHED 1993

TARGET MARKET(S)

Employer plans with 100 employees or more. $10 million in assets from all professional service firms.

KINDS OF PLAN(S) SUPPORTED

401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing Money purchase pension, 403(b), 457, Non-qualified deferred, compensation, Other DC plans

CUSTODIAN(S) USED

Matrix, Provident Trust, Charles Schwab, First State Trust FEE STRUCTURE

Per participant fee, Asset-based, customized pricing and fee structures

SERVICE(S) PROVIDED

Compliance support, preparation of loan paperwork, processing of loan applications, Non-discrimination testing, plan design consulting, plan audit support, actuarial calculations & support, form 5500 preparation, plan benchmarking, QDRO review, hardship distribution requests, target-date fund evaluation tools, investment monitoring services, plan committee meetings, employee education, enrollment meeting support, call center, full-scope ERISA 3(16) fiduciary

ALTIGRO PENSION SERVICES,INC.

FAIRFIELD, NJ

KEY CONTACTS

Steven Greenbaum, (973) 439-0200, steven.greenbaum@altigro.com

Brad Greenbaum, (973) 439-0200, brad.greenbaum@altigro.com

WEBSITE pension.altigro.com

ESTABLISHED 1973

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE New Jersey

SPONSORED PLANS SUPPORTED 823

TARGET MARKET(S) 1 to 500 lives

KINDS OF PLAN(S) SUPPORTED 401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b), 457, Non-qualified deferred compensation, Other DC plans

FEE STRUCTURE

Per participant fee, Asset-based, Also, we will offset billing by revenue sharing on large plans.

SERVICE(S) PROVIDED

Compliance Support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations &support, Form 5500 preparation, QDRO Review, Hardship distribution requests, Plan committee meetings, Employee education, Enrollment meeting support

AMI BENEFIT PLAN ADMINISTRATORS,INC.

YOUNGSTOWN, OH

KEY CONTACTS

Pamela L. Bobersky, CEBS, RPA, QKA, (800) 451-2865, ami@amibenefit.com

Tim Halchuck, QPFC, AIF, C(k)P, (800) 451-2865, ami@amibenefit.com

WEBSITE amibenefit.com

FIRM PROFILE

We are a Fiduciary Plan Administrator (FPA) and do NOT act as a Third Party Administrator. We specialize in plans that want to outsource the liability and responsibility of the operation of the plan. We have a dedicated staff of experienced and educated staff to provide these higher level services.

ESTABLISHED 1994

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE

We are physically located in Ohio. However, we have clients all over the United States.

SPONSORED PLANS SUPPORTED 600+

TOTAL ASSET VALUE OF THE EMPLOYMENT BASED PLANS SUPPORTED

As of 06/30/16 Currently close to $1 B

TARGET MARKET(S)

Up to 1,000 participants per plan, $1,000.000 to $50,000,000 in assets.

KINDS OF PLAN(S) SUPPORTED 401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b), Other DCpPlans

FEE STRUCTURE Per participant fee, Asset-based

CUSTODIAN(S) USED Matrix and MidAtlantic

SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Form 5500 preparation, QDRO review, Hardship distribution requests, Plan committee meetings, Employee education, Call center

ATLANTIC PENSION SERVICES, INC

KENNETT SQUARE, PA

KEY CONTACTS

Miriam “Missy” Matrangola, Esq, (610) 925-5554, mm@atlanticpensionservices.com Bryan Koegel, (484) 885-7636 bkoegal@atlanticpensionservices.com

WEBSITE atlanticpensionservices.com

FIRM PROFILE

CEFEX certified third party administrator of DC and DB plans. We are an independent non-producing TPA that strives to make retirement plans easy for our clients.

ESTABLISHED 1992

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE Pennsylvania

SPONSORED PLANS SUPPORTED 530

TARGET MARKET(S)

Small to mid-size employers that range in size from 1-500 lives.

KINDS OF PLAN(S) SUPPORTED 401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b), 457

CUSTODIAN(S) USED

American Funds, Ascensus, Aspire, Empower, John Hancock, Lincoln, Mutual of Omaha, Nationwide, Ohio National, Principal, Transamerica and Voya

FEE STRUCTURE

Per participant fee, Asset-based, Atlantic Pension offsets revenue received from custodians against our fees and discloses revenue to plan sponsors.

SERVICE(S) PROVIDED

Plan design consulting, Non-discrimination Testing, Plan audit support, Form 5500 preparation, Distribution processing support, Plan committee meetings

BILLINGS AND COMPANY, INC.

SIOUX CITY, IA

KEY CONTACTS

Richard Billings, (800) 713-401k, dick.billings@billingsco.com

Michael Billings, (800) 713-401k, mike.billings@billingsco.com

WEBSITE billingsco.com

FIRM PROFILE

Non-producing TPA with ERISA plans in 34 states. We also offer Gazelle-by-Billings openarchitecture daily recordkeeping platform with over 20,000 mutual fund choices, as well as ETF’s and brokerage. We also provide Named 402/3(16) Fiduciary Services to Plan Sponsors who wish to virtually eliminate their fiduciary risks of sponsoring a qualified plan. Finally, we offer our clients Notice Outsourcing and thus take over the responsibility of providing all “eligible” employees their required Notices per Department of Labor Regulations.

ESTABLISHED 1984

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE

Ohio, Minnesota, Iowa, Nebraska

SPONSORED PLANS SUPPORTED 550

TOTAL ASSET VALUE OF THE EMPLOYMENT BASED PLANS

SUPPORTED

As of 06/30/16 $650 MM

As of 12/31/15 $650 MM

PARTICIPANTS COVERED BY THE EMPLOYMENT BASED PLANS

SUPPORTED

As of 06/30/16 30,000 As of 12/31/15 30,000

TARGET MARKET(S)

Employers with 25-1,000 employees

KINDS OF PLAN(S) SUPPORTED

401(k), Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b), 457

CUSTODIAN(S) USED

Schwab, Matrix and TD Ameritrade

FEE STRUCTURE

Per participant fee, Asset-based

SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations & support, Form 5500 preparation, Plan benchmarking, QDRO review, Hardship distribution requests, Target-date fund evaluation tools, Investment monitoring services, Plan committee meetings, Employee education, Enrollment meeting support, Call center

BOULAY

DONNELLY & SUPOVITZ CONSULTING GROUP, INC.

WORCESTER, MA

KEY CONTACTS

Jill Donnelly (508) 755-8883 x229, jdonnelly@bdsconsultinggroup.com

WEBSITE bdsconsultinggroup.com

FIRM PROFILE

Boulay Donnelly & Supovitz is a leader in retirement plan consulting and administrative services. Since 1969, we’ve been providing customized retirement plan solutions to client firms, regardless of their size. Our expertise spans a full range of 401(k), profit sharing and other qualified retirement plans.

ESTABLISHED 1969

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE

Primarily New England

TARGET MARKET(S) Small to mid size companies

KINDS OF PLAN(S) SUPPORTED 401(k), Profit-sharing, Money purchase, 403(b)

CUSTODIAN(S) USED

American Funds, Ascensus, Empower, Guardian, John Hancock, Lincoln, Mass Mutual, Principal, Voya, Nationwide, Transamerica, SDBA

FEE STRUCTURE

BDS Consulting Group is an explicit fee for service shop, base fee plus per participant fee, 100% reimbursement of TPA payments from Custodians used to offset our fees and disclosed to plan sponsors.

SERVICE(S) PROVIDED

Compliance support, non-discrimination testing, plan design consulting and document/SPD preparation, Form 5500/SSA preparation and electronic submission, plan audit support, preparation of loan and distribution paperwork, QDRO review

DYNAMIC PENSION SERVICES, INC.

KETTERING, OH

KEY CONTACTS

Tara M. Hessert, (937) 434-4488, tara@dpstpa.com

WEBSITE dynamicpension.com

FIRM PROFILE

We are a full service retirement plan administration firm. Our specialty is Defined Contribution plan administration with a major emphasis in 401k plans. We offer a “personal touch” way of doing business through our “Pensions Made Easy” administration services business model.

ESTABLISHED 1991

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE Ohio

SPONSORED PLANS SUPPORTED 230

TARGET MARKET(S)

Typically less than 120 eligible employees. Sometimes the smaller the better for us as there is much more flexibility with plan design.

KINDS OF PLAN(S) SUPPORTED

401(k), Cash balance/hybrid, Profit-sharing, 403(b)s

CUSTODIAN(S) USED

When we work in the open architecture space, we tend to utilizing Mid-Atlantic and MG Trust. However, we have clients utilizing Ascensus, Aspire, PCS and whomever these firms utilize as custodians. We also work with almost all insurance-based products like Voya, John Hancock, MassMutual, Nationwide, etc.

FEE STRUCTURE

Base fee, Per eligible employee fee

SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Form 5500 preparation, Plan benchmarking, QDRO review, Hardship distribution requests, Investment monitoring services, Plan committee meetings, Call center

Some of the above services are dependent on the plan utilizing our open architecture services versus an insurance-based produce like Voya or John Hancock.

EDBERG & PERRY, INC.

PHOENIX, AZ

KEY CONTACTS

Susan Perry, (602) 687-5801, suep@edbergperry.com

WEBSITE www.edbergperry.com

FIRM PROFILE

Edberg & Perry is a full service third party administration firm. We handle all types of qualified retirement plans. Plan sponsors need us to help with the administration of their retirement plans, so they can stay focused on their businesses. As such, we handle not only the normal administration typical of a third party administrator, but we do a substantial amount of plan correction work and 3(16) fiduciary administration. Because we can help a plan sponsor regardless of the level of need, we are a great fit for those plan sponsors looking for an out of the box solution to retirement.

ESTABLISHED 1994

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE

Arizona

SPONSORED PLANS SUPPORTED 500

TARGET MARKET(S)

Our target market is a client looking for a customized retirement plan administration solution. We can work with clients covering only owners all the way up to larger multithousand employee businesses.

KINDS OF PLAN(S) SUPPORTED

401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b)

CUSTODIAN(S) USED

Any custodian is acceptable

FEE STRUCTURE

Per participant fee, Asset-based

SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations & support, Form 5500 preparation, Plan benchmarking, QDRO review, Hardship distribution requests, Plan committee meetings, Employee education, Enrollment meeting support 3(16) fiduciary administration services

EKON BENEFITS

ST. LOUIS, MISSOURI

KEY CONTACTS

Keith Kowalczyk, ASA, MSPA, AAA, EA, keith.kowalczyk@ekonbenefits.com Genelle Brakefield, ERPA, QKA, TGPC, QPFC, genelle.brakefield@ekonbenefits.com

WEBSITE www.ekonbenefits.com

FIRM PROFILE

Founded in St. Louis, Missouri in 1981,Ekon Benefits has been specializing in the administration and consulting of employer-sponsored retirement plans for over 35 years.

We pride ourselves on providing comprehensive retirement services that are customized to the needs of each client and participant group. Our associates have extensive experience in all types of qualified plans including Defined Benefit actuarial services, 401(k) recordkeeping and compliance, ESOP accounting, and 403(b) and 457 Plan administration.

Please visit www.EkonBenefits.com to learn more.

ESTABLISHED 1981

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE Missouri, Oregon

SPONSORED PLANS SUPPORTED 358

TARGET MARKET(S)

Employers looking to sponsor a top-notch retirement savings vehicle for their employees.

KINDS OF PLAN(S) SUPPORTED

401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b), 457, Non-qualified deferred compensation other DC plans

FEE STRUCTURE

Per participant fee, Asset-based

SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations & support, Form 5500 preparation, Plan benchmarking, QDRO review, Hardship distribution requests, Target-date fund evaluation tools, Investment monitoring services, Plan committee meetings, Employee education, Enrollment meeting support

INTAC ACTUARIAL SERVICES

RIDGEWOOD, NJ

KEY CONTACTS

Charles Rosenberg, (201) 301-1030, crosenberg@intacinc.com

WEBSITE www.intacinc.com

FIRM PROFILE

Founded in 1977, Intac Actuarial Services provides the complete administration of employer-sponsored retirement plans for over 2,800 small to mid-sized companies, their owners, their key executives and all of their employees. Now in its second generation of family ownership, INTAC has been recognized by NJBIZ as the largest Defined Contribution Provider in New Jersey.

ESTABLISHED 1977

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE New Jersey, New York

SPONSORED PLANS SUPPORTED 2,800 TARGET MARKET(S)

Small to mid size closely held businesses

KINDS OF PLAN(S) SUPPORTED 401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b), 457, other DC plans

CUSTODIAN(S) USED

All recordkeepers that integrate with TPA’s, for example: Nationwide, Voya, John Hancock, Mass Mutual, Principal, American Funds, Empower, Asensus

FEE STRUCTURE

Per participant fee, Asset-based.

SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations & support, Form 5500 peparation, QDRO review, Hardship distribution requests

LURIE, LLP

MINNEAPOLIS, MN

KEY CONTACTS

Wendy Frame, (612) 381-8744, wframe@luriellp.com

Jeremy Palm, (612) 381-8732, jpalm@luriellp.com

WEBSITE www.luriellp.com

ESTABLISHED 1940

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE

Minnesota

SPONSORED PLANS SUPPORTED 500

KINDS OF PLAN(S) SUPPORTED

401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension

FEE STRUCTURE

Per participant fee, Asset-based SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations & support, Form 5500 preparation, Plan benchmarking, QDRO review, Hardship distribution requests, Enrollment meeting support

MRS401K

LA JOLLA, CA

KEY CONTACTS

Craig Lewis Gillooly, Esq., J.D., (800) 474-3826, info@401kadminitrators.com Tyler Laracuente, (858) 605-9312 support@401kadministrators.com

WEBSITE 401kmrs.com

FIRM PROFILE

401kAdministrators.com sets up and administers 401k profit sharing plans online for small companies and the self-employed.

ESTABLISHED 2003

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE California

SPONSORED PLANS SUPPORTED 1,000+

TARGET MARKET(S)

Small companies and the self-employed

KINDS OF PLAN(S) SUPPORTED 401(k), Profit-sharing

CUSTODIAN(S) USED

Unbundled open architecture. Fidelity, LPL, Schwab, TD Ameritrade, Vanguard, Wells Fargo and dozens of others. We can administer plans regardless of where the assets are so we are completely open to the assets being custodied wherever the Plan Trustee chooses.

FEE STRUCTURE

Asset-based SERVICE(S) PROVIDED

With our cloud based 401k management reporting system, users easily keep track of contribution dates, types and amounts, and distribution transactions such as In-service distributions, Qualified rollovers, Early withdrawals, Loans, Hardship withdrawals, etc... Mrs401k automatically generates and files IRS Form 1099-R for distributions. Users also store plan documents in a secure online file cabinet, have access to and obtain employee enrollment notices, forms and instructions, generate loan applications and loan promissory notes, keep employee census information up to date and file their annual return directly from Mrs401k. Testing and compliance for the plan is automated and in real time, so the plan can be tested at any time by keeping the information in Mrs401k up to date.

NATIONAL BENEFIT SERVICES LLC

WEST JORDAN, UT

KEY CONTACTS

Barry McCann, (801) 532-4000 x129, barrym@nbsbenefits.com

Eric Thorne, 801-532-4000 x118

WEBSITE nbsbenefits.com

FIRM PROFILE

National Benefit Services (NBS) provides retirement and flexible benefit administration to over 20,000 employers nationwide and has grown to become a national name in thirdparty benefit administration for more than 30 years. We’re passionate about the services we provide and genuinely care about the people we serve. With a firm commitment to teamwork, collaboration, communication and support, our goal is to flawlessly deliver the benefits to benefit plans.

ESTABLISHED 1985

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE

Utah

SPONSORED PLANS SUPPORTED 20,000

TOTAL ASSET VALUE OF THE EMPLOYMENT BASED PLANS SUPPORTED

As of 06/30/16 $2.223 B

As of 12/31/15 $2.125 B

PARTICIPANTS COVERED BY THE EMPLOYMENT BASED PLANS SUPPORTED

As of 06/30/16 127,711 As of 12/31/15 127,598

TARGET MARKET(S)

Insurance brokers and financial advisors as well as PEO’s. All companies from small privately held to large for profit and non-profit/governmental entities.

KINDS OF PLAN(S) SUPPORTED 401(k), Traditional defined benefit, Profit-sharing, Money purchase pension, 403(b), 457, Non-qualified deferred compensation, other DC plans, Multiple Employer Plans

CUSTODIAN(S) USED

NBS is an independant TPA and we can work with all custodians.

FEE STRUCTURE

Per participant fee, Asset-based SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations & support, Form 5500 preparation, QDRO review, Hardship distribution requests, Plan committee meetings, Employee Education, Enrollment Meeting Support, Call center, Common Remitter, Payroll Aggregation

NATIONAL RETIREMENT SERVICES, INC. (NRS)

HUNTINGTON BEACH, CA

KEY CONTACTS

Nate DeLong and Suzan Hall, (800) 350-2172 (P/M Time), nate.delong@nrservices.com, suzan.hall@nrservices.com

Jim Houpt and Amber Waddell (800) 627-1610 (C/E Time) jim.houpt@nrservices, amber.waddell@nrservices.com

WEBSITE nrservices.com

FIRM PROFILE

National Retirement Services, Inc. (NRS) is a leading national third party administration firm (TPA) offering plan design, plan document and installation, plan administration - including nondiscrimination testing, valuation processing and filing of related government forms. NRS provides retirement plan services for over 2,000 qualified retirement plans nationwide. Our history began in 1923 with the founding of National Associates, which grew to be a leading national pension consulting firm now operating under the name National Retirement Services, Inc. NRS believes it is the “best value” TPA in the industry, as it employs high level technical resources as well as a strong account management team for competitive fees. NRS’s mantra is: “Service is an ART –Accuracy, Responsive and Timeliness.”

ESTABLISHED 2001

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE

California and North Carolina, but we serve Nationwide

SPONSORED PLANS SUPPORTED 2,000+

TARGET MARKET(S) 1-1,000 participants

KINDS OF PLAN(S) SUPPORTED

401(k), Traditional defined benefit, Cash balance/ hybrid, Profit-sharing, Money purchase pension, 403(b)

CUSTODIAN(S) USED

We are a preferred TPA alliance partner with Investment Provider Platforms that include: American Funds, Ascensus, Great West/Empower Retirement, John Hancock, Lincoln Financial, MassMutual, Mutual of Omaha, Nationwide, The Principal, Transamerica, VOYA and many others.

FEE STRUCTURE

Per participant fee, When applicable, we will offset Revenue Sharing payments from Investment Provider Platforms. We also have a base fee, per occurrence charges for loan and distribution, as well as consulting fees as needed.

SERVICE(S) PROVIDED

Compliance support, preparation of loan paperwork, processing of loan applications, nondiscrimination testing, plan design consulting, plan audit support, actuarial calculations & support, Form 5500 preparation, QDRO review, hardship distribution requests in certain situations, we may provide plan committee meeting and enrollment meeting support

NOBLE-DAVIS CONSULTING, INC.

SOLON, OH

KEY CONTACTS

Karen Johnson, (440) 498-8408, kbj@noblepension.com Jan Davis, (440) 498-8408 jld@noblepension.com

WEBSITE noblepension.com

FIRM PROFILE

Founded over 25 years ago, Noble-Davis Consulting, Inc. is a full service Third Party Administration firm known for proactive, handson service, a highly trained staff and competitive fees. Noble-Davis offers “open architecture” platforms which allow us to work with any financial advisor. Balance forward accounting, compliance only services, daily valuation and self directed brokerage accounts are also available. Noble-Davis welcomes the opportunity to become a part of your retirement plan solutions team. Start here!

ESTABLISHED 1987

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE Ohio

SPONSORED PLANS SUPPORTED 500

TARGET MARKET(S) Plans with under 100 participants

KINDS OF PLAN(S) SUPPORTED 401(k), Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b), 457, Non-qualified deferred compensation CUSTODIAN(S) USED We will work with any custodian.

FEE STRUCTURE

Bases fee with a per participant fee SERVICE(S) PROVIDED Compliance support, Preparation of loan paperwork, Processing of loan applications Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations & support, Form 5500 preparation, Plan benchmarking, QDRO review, Hardship distribution requests, Enrollment meeting support, Call center

PENSION REVIEW SERVICES

MELVILLE, NY

KEY CONTACTS

Sue Feller, (631) 465-0850, sfeller@pensionreviewservices.com

Michael Rosenbloom, (631) 465-0850, mrosenbloom@pensionreviewservices.com

WEBSITE pensionreviewservices.com

ESTABLISHED 1992

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE New York

SPONSORED PLANS SUPPORTED 250

TARGET MARKET(S) Micro, small, medium companies

KINDS OF PLAN(S) SUPPORTED 401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension

FEE STRUCTURE Base plus per participant fee

SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Non-discrimination testing, Plan design consulting, Actuarial calculations & support, Form 5500 preparation, QDRO review, Hardship distribution requests, Enrollment meeting support

PINNACLE PLAN DESIGN

TUCSON, AZ

KEY CONTACTS

Robbie Petrillo, QPA, QKA, (520) 618-1305, rpetrillo@pinnacle-plan.com

T.J. Orr, ERPA, QPA, QKA, (520) 618-1305, torr@pinnacle-plan.com

WEBSITE pinnacle-plan.com

FIRM PROFILE

We collaborate with employers and their advisors to design and administer retirement plans that turn tax dollars into retirement benefits. In addition to our robust 401(k)/profit sharing plan practice, we are industry leaders in the traditional defined benefit and cash balance plan arena. Business owners who desire larger tax deductions and accelerated retirement savings can benefit from layering a cash balance plan on top of their existing 401(k) plan.

ESTABLISHED 2001

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE

Arizona, Texas

SPONSORED PLANS SUPPORTED 950

TOTAL ASSET VALUE OF THE EMPLOYMENT BASED PLANS SUPPORTED

As of 06/30/16 $1.3 B

As of 12/31/15 $1.3 B

PARTICIPANTS COVERED BY THE EMPLOYMENT BASED PLANS SUPPORTED

As of 06/30/16 18,500 As of 12/31/15 18,500

TARGET MARKET(S)

Closely-held, profitable businesses, Business owners seeking larger deductions than their 401(k) plan will allow, Companies who demand a higher level of service with regard to their plan, Error correction and compliance consulting for plans that have experienced operational errors

KINDS OF PLAN(S) SUPPORTED

401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b)

CUSTODIAN(S) USED

All

FEE STRUCTURE

Per participant fee

SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations & support, Form 5500 preparation, Hardship distribution requests

QUALIFIED CONCEPTS, INC.

INVERNESS, IL

KEY CONTACTS

Jacqueline Bochenski, (847) 934-1104, jackie@qualifiedconcepts.com Marianne Kral, (847) 934-1104 randy@qualifiedconcepts.com

WEBSITE qualifiedconcepts.com

FIRM PROFILE

We specialize in the design, development, implementation and ongoing administration of retirement plans for small to mid sized businesses. We design complex plans as well as those trying to minimize effort and cost with simplistic programs. We provide smart, customized retirement plan solutions tailored to each client. We assist our clients to run a compliant, cost efficient program that employees appreciate.

ESTABLISHED 1989

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE

Illinois

SPONSORED PLANS SUPPORTED 50

TOTAL ASSET VALUE OF THE EMPLOYMENT BASED PLANS SUPPORTED

As of 06/30/16 $76 MM

As of 12/31/15 not easily available

PARTICIPANTS COVERED BY THE EMPLOYMENT BASED PLANS SUPPORTED

As of 06/30/16 850

As of 12/31/15 not easily available

TARGET MARKET(S)

Small to mid size businesses, all industries

KINDS OF PLAN(S) SUPPORTED 401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b), other DC plans

CUSTODIAN(S) USED

Nationwide, John Hancock, American Funds, TIAA-CREF, Principal, Empower

FEE STRUCTURE

Per participant fee

SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations & support, Form 5500 preparation, QDRO Review, Hardship distribution requests

QUALIFIED PLAN CONSULTANTS, INC.

WEST SPRINGFIELD, MA

KEY CONTACTS

Larry Starr, (413) 736-2066, larrystarr@qpc-inc.com

FIRM PROFILE

Qualified Plan Consultants, Inc. (QPC) is a West Springfield, Massachusetts firm providing Pension and Profit Sharing plan consulting, administration and actuarial services on a fee-for-service basis. QPC does not market any products and works with many area accountants, attorneys and insurance professionals. Though their many clients are primarily found in New England, QPC provides services all over the country.

ESTABLISHED 1983

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE Massachusetts

SPONSORED PLANS SUPPORTED 400+ TARGET MARKET(S)

We primarily service small employers with from 1 to 500 employees; the vast majority of our plans have fewer than 100 participants.

KINDS OF PLAN(S) SUPPORTED

401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b), 457

FEE STRUCTURE

Fixed fee schedule based on type of plan and number of participants; NOT asset based.

SERVICE(S) PROVIDED

Compliance support, preparation of loan paperwork, processing of loan applications, non-discrimination testing, plan design consulting, actuarial calculations & support, Form 5500 preparation, QDRO review,hardship distribution requests, plan committee meetings, employee education, enrollment meeting support

REA CONSULTING GROUP, LLC

DUBLIN, OH

KEY CONTACTS

Paul McEwan CPA, MTax, AIFA, (330) 308-6827, paul.mcewan@reacpa.com

Steve Renner QKA, (330) 308-6849, steve.renner@reacpa.com

WEBSITE reacpa.com

FIRM PROFILE

Rea Consulting Group LLC is wholly owned by Rea & Associates, Inc, a regional CPA firm with 11 offices and over 200 professionals located throughout Ohio. The firm has been providing retirement plan consulting services, including plan administration services, since 1998. Other plan related services provided are plan design, plan management (including fiduciary governance), vendor search and fee benchmarking, as well as financial statement audits of over 100 retirement plans annually.

ESTABLISHED 1938

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE

Ohio

SPONSORED PLANS SUPPORTED 400

TARGET MARKET(S)

Rea Consulting Group serves retirement plans in the start-up to $20 million market. We specialize in plan design and administration for plans sponsored by professional service groups, and other highly profitable, small businesses, including cross-tested 401(k) profit sharing plans and cash balance plans. Our ideal client understands the importance of retirement planning to the lives of their employees and seeks to maximize employee engagement and participation through creative retirement plan design.

KINDS OF PLAN(S) SUPPORTED 401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b), other DC plans

CUSTODIAN(S) USED

We work with a variety of platforms and custodians in partnership with the investment advisers to our clients.

FEE STRUCTURE

Per participant fee. We also provide projectbased fees based on the time and value of non-recurring consulting projects.

SERVICE(S) PROVIDED

Compliance support, preparation of loan paperwork, processing of loan applications, non-discrimination testing, plan design consulting, plan audit support, actuarial calculations & support, Form 5500 preparation, plan benchmarking, QDRO review, hardship distribution requests, plan committee meetings, enrollment meeting support call center, plan management (including fiduciary governance), vendor search as well as financial statement audits of over 100 retirement plans annually

REED-RAMSEY, INC

OAK BROOK, IL

KEY CONTACTS

Robert Reed, (630) 571-4584, rob@reed-ramsey.com

WEBSITE reed-ramsey.com

FIRM PROFILE

Reed-Ramsey is a non-producing benefit and human resource consulting firm with our core business in the retirement plan area. We provide services for all defined contribution, ESOP and defined benefit Plan designs. Reed-Ramsey creates strategic alliances with investment professionals to meet our mutual client’s needs.

ESTABLISHED 1940’s

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE Illinois

SPONSORED PLANS SUPPORTED 135

TARGET MARKET(S)

National and generally plans with less than 1,000 participants

KINDS OF PLAN(S) SUPPORTED

401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b), 457, NQDC, other DC plans

CUSTODIAN(S) USED Various, depending on whether we do the daily recordkeeping.

FEE STRUCTURE

Per participant fee. We do not charge an asset based fee.

SERVICE(S) PROVIDED

Compliance and plan audit support, Loan & hardship processing, Non-discrimination testing, Plan design consulting, Actuarial calculations & support, Form 5500, Plan benchmarking, QDRO review, Hardship distribution requests, Plan committee & education meetings, Call center.

SPECTRUM PENSION CONSULTANTS, INC.

TACOMA, WA

KEY CONTACTS

Yannis P. Koumantaros, (253) 592-6687, sales@spectrumpension.com

Chris R. Waldron, (253) 592-6676, sales@spectrumpension.com

WEBSITE spectrumpension.com

FIRM PROFILE

Incorporated in 1978, Spectrum Pension Consultants, Inc. (Spectrum) is a B2B consulting firm, which specializes in delivering benefit plan administration and outsourcing, business solutions, and management consulting services to employer organizations.

ESTABLISHED 1978

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE

Washington, California, Hawaii

SPONSORED PLANS SUPPORTED 760

TARGET MARKET(S)

TPA: 25-150 Participants, WA, OR, CA, HI RK+TPA: 50-500 Participants, WA, OR, CA, HI

KINDS OF PLAN(S) SUPPORTED

401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b), 457, Non-qualified deferred compensation, other DC plans

CUSTODIAN(S) USED

TPA: All Top 20 Recordkeeping Firms + most in next 20; RK+TPA: Charles Schwab, Fidelity, TD Ameritrade, Matrix/Broadridge, Benefit Trust Company

FEE STRUCTURE

Per participant fee and asset-based. Underwrite plans at individual or block pricing level. Always willing to flat fee anything over 250 lives. 100% Revenue Sharing rebated back to participant accounts as negative fee or funding into ERISA accounts - no haircuts.

SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations & support, Form 5500 peparation, Plan benchmarking, QDRO review, Hardship distribution requests, Plan committee meetings, Employee education, Enrollment meeting support, Call center, Big Data Visualizations of Plan Intelligence Data using Microsoft Power BI, Paperless Office with e-Sign capabilities engineered using Microsoft + DocuSign

SUMMIT BENEFIT & ACTUARIAL SERVICES, INC.

EUGENE, OR

KEY CONTACTS

Norman Levinrad, (541) 344-2324 x 311, norman@summitbenefit.com

Jeff Curl, (541) 344-2324 x 312, jeff@summitbenefit.com

WEBSITE summitbenefit.com

FIRM PROFILE

Summit Benefit & Actuarial Services provides creative, practical, and innovative retirement planning services. Summit has offices in Eugene, Oregon and in Wauwatosa, Wisconsin; coupled with a nationwide client base.

Summit’s technical and professional staff is the foundation of our unparalleled expertise. Our staff includes five actuaries, our own dedicated ERISA attorney, four CPCs, five QPAs, six QKAs and one ERPA.

ESTABLISHED 1990

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE Oregon, Wisconsin

SPONSORED PLANS SUPPORTED 400+

TARGET MARKET(S)

Plan sponsors can rest easy and be confident they have optimal plan design and ongoing compliance that is beyond reproach. Our service model documents the steps of every transaction; from each deferral and loan payment though every distribution – ensuring reliable and accurate results.

KINDS OF PLAN(S) SUPPORTED

401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b), 457

CUSTODIAN(S) USED

We have plans with over thirty investment providers. Once we complete our due diligence process, we can easily work with any investment provider the plan sponsor or broker desires.

FEE STRUCTURE

Per participant fee, Asset-based

SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations & support, Form 5500 peparation, Plan benchmarking, QDRO review, Hardship distribution requests, Target-date fund evaluation tools, Plan committee meetings, Employee education, Enrollment meeting support

SWERDLIN & COMPANY

ATLANTA, GA

KEY CONTACTS

Lee Swerdlin, (678) 775-5553, lswerdlin@swerdlin.com

Joanne Swerdlin, (678) 775-5512, jswerdlin@swerdlin.com

WEBSITE www.swerdlin.com

ESTABLISHED 1980

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE Georgia, Massachusetts

SPONSORED PLANS SUPPORTED 1,000+

TARGET MARKET(S) 401(k), ESOP and KSOP administration, Traditional defined benefit, Cash balance/ hybrid, Profit-sharing,Money purchase pension, 403(b), 457, Non-qualified deferred compensation, other DC Plans

KINDS OF PLAN(S) SUPPORTED 401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b), 457, Non-qualified deferred compensation, other DC Plans

CUSTODIAN(S) USED Matrix, TD Ameritrade, Schwab, Benefit Trust, Relius

FEE STRUCTURE

Per participant fee, Our fees are based on number of participants & not based on asset value. We are independent of the assets and do not accept any revenue sharing.

SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations & support, Form 5500 peparation, Plan benchmarking, QDRO review, Hardship distribution requests, Enrollment meeting support

THE MANDMARBLESTONE GROUP LLC

PHILADELPHIA, PA

KEY CONTACTS

Michael O’Connell, (215) 222-5000 x 130, moconnell@mand.com Felicia Steele, (215) 222-5000 x 102, fsteele@mand.com

WEBSITE www.mand.com

FIRM PROFILE

The MandMarblestone Group, llc is the preeminent tax law consulting firm concentrating in designing, administering and consulting on qualified retirement plans. Founded in 1975, The MandMarblestone Group has grown substantially by working closely with business owners, accountants, investment advisors and high net worth individuals to help our clients defer the legal maximum in retirement plans for owners, family members and select employees. Based in Philadelphia, MandMarblestone has a branch office in Boston to meet the growing need for our services in the Northeast.

ESTABLISHED 1975

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE

Pennsylvania, Massachusetts (Boston) SPONSORED PLANS SUPPORTED 1,500

TOTAL ASSET VALUE OF THE EMPLOYMENT BASED PLANS SUPPORTED

As of 06/30/16 $2,694,502,118

As of 12/31/15 $2,447,582,125

PARTICIPANTS COVERED BY THE EMPLOYMENT BASED PLANS SUPPORTED

As of 06/30/16 38,994 As of 12/31/15 36,752

TARGET MARKET(S) Micro through mid-market plans, professional practices and closely held & family owned businesses.

KINDS OF PLAN(S) SUPPORTED 401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension, 403(b), 457, other DC plans

CUSTODIAN(S) USED

All

FEE STRUCTURE

Fee for service

SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations & support, Form 5500 peparation, Plan benchmarking, QDRO review, Hardship distribution requests, Plan committee meetings Enrollment meeting support

THE RETIREMENT TEAM, INC.

HIGH POINT, NC

KEY CONTACTS

Deb Aboudara, (336) 841-1005, deb@theretirementteam.com

WEBSITE theretirementteam.com

FIRM PROFILE

As a boutique pension administration firm, we work directly with fiduciaries to the plan. Our work entails non-fiduciary services: customized plan design, consulting, administrative support, and mending compliance issues.

ESTABLISHED 2004

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE North Carolina

KINDS OF PLAN(S) SUPPORTED 401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, Money purchase pension

CUSTODIAN(S) USED Various

FEE STRUCTURE

There is a base fee for core services, plus a per-participant fee. There are transaction fees, such as establishment and maintenance of participant loans. There is an hourly rate for special consultation on projects that fall outside core services. Any subsidies paid to us from an insurance company or mutual fund complex are used to reduce our fees.

SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations & support, Form 5500 preparation, QDRO review, Hardship distribution requests

TRINITY PENSION CONSULTANTS

AKRON, OH

KEY CONTACTS

Anthony Warren, (330) 668-3747, anthonyw@trinitypension.com

Jennifer Heideloff, (234) 788-2206, jheideloff@trinitypension.com

WEBSITE trinitypension.com

FIRM PROFILE

Trinity Pension Consultants, Inc. is one of the largest independent and non-producing ThirdParty Administration firms in Ohio that focuses exclusively on qualified retirement plan administration. Trinity has clients across the United States and works with a full scope of Investment Providers, including mutual fund companies, insurance companies, brokerage firms, and open-architecture arrangements.

ESTABLISHED 2006

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE Ohio, Kentucky, Indiana

SPONSORED PLANS SUPPORTED 1,462

KINDS OF PLAN(S) SUPPORTED 401(k), Traditional defined benefit, Cash balance/hybrid, Profit-sharing, 403(b) FEE STRUCTURE

Per participant fee

SERVICE(S) PROVIDED

Compliance support, Preparation of loan paperwork, Processing of loan applications, Non-discrimination testing, Plan design consulting, Plan audit support, Actuarial calculations & support, Form 5500 preparation, Plan benchmarking, QDRO review, Hardship distribution requests

TRISTAR PENSION CONSULTING

OKLAHOMA CITY, OK

KEY CONTACTS

Shannon Edwards, (405) 848-4015, shannon@tristarpension.com

Allyson Rentsch, (405) 848-4015 allyson@tristarpension.com

WEBSITE tristarpension.com

FIRM PROFILE

TriStar Pension Consulting focuses on helping Americans save for a dignified retirement. We partner with both advisors and employers to effectively design, administer and at times restore the qualified status of Employer Sponsored Retirement Plans. We are a well-established, nonproducing Compliance Consulting and TPA Firm based in Oklahoma with no limits on with whom we can work.

ESTABLISHED 1999

STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE Oklahoma

SPONSORED PLANS SUPPORTED 250

TOTAL ASSET VALUE OF THE EMPLOYMENT BASED PLANS SUPPORTED

As of 06/30/16 $200 MM+

As of 12/31/15 $200 MM

PARTICIPANTS COVERED BY THE EMPLOYMENT BASED PLANS SUPPORTED

As of 06/30/16 10,000+ As of 12/31/15 10,000

TARGET MARKET(S) Micro (<$1million), Small ($1-10 million) Mid ($10 - 100 million)

KINDS OF PLAN(S) SUPPORTED 401(k), traditional defined benefit, cash balance/ hybrid, profit-sharing, 403(b)

CUSTODIAN(S) USED

We are able to use any custodians the advisor sees fit.

FEE STRUCTURE Base fee

SERVICE(S) PROVIDED

Compliance support, preparation of loan paperwork, processing of loan applications, non-discrimination testing, plan design consulting, plan audit support, Form 5500 preparation, QDRO review, hardship distribution requests, voluntary compliance and resolutions support, preparation and representation

When you put participants first, good things happen.

No two participants are alike. At John Hancock, we know they are individuals with unique retirement challenges and goals. That’s why we offer tools, solutions and advice they can use whenever, wherever and however they choose to help achieve their retirement goals.

Let John Hancock help you build a better retirement plan program that puts participants first. From start-ups to larger, more complex plans, we have a solution for your clients’ goals and unique challenges.

Talk with your John Hancock representative today to find out how we can work together. Visit buildyour401kbusiness.com

John Hancock Life Insurance Company (U.S.A.), John Hancock Life Insurance Company of New York and John Hancock Retirement Plan Services, LLC are collectively referred to as ”John Hancock”. John Hancock Retirement Plan Services, LLC, Boston, MA 02210

NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT INSURED BY ANY GOVERNMENT AGENCY © 2016 All rights reserved. MGTS-PS30502-GE 07/16-30502