T P A s | A D D I T I O N A L L I S T I N G S | N A P A B L A C K B O O K 2 01 9 SHORE TOMPKINS ACTUARIAL RESOURCES, LLC
SPECTRUM PENSION CONSULTANTS
THE RETIREMENT ADVANTAGE, INC. (TRA)
Chicago, IL | shoretompkins.com
Tacoma, WA | spconsultants.com/pension
Appleton, WI | tra401k.com
KEY CONTACTS
Kathy Tompkins | 312.762.5945 | kathy.tompkins@shoretompkins.com Neil Shore | 312.762.5944 | neil.shore@shoretompkins.com
FIRM PROFILE
Shore Tompkins Actuarial Resources is a TPA firm located in downtown Chicago providing advisors with creative & effective retirement plan solutions for their clients & prospects. We administer all types of plans from basic safe-harbor and one-person plans, to sophisticated cash balance plans. We also provide high-level compliance testing associated with corrective actions, non-standard plan designs and merged plans. We are focused on providing our clients with prompt, knowledgeable & friendly service! ESTABLISHED: 2004
NAPA-NET.ORG
130
STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE: IL
PRIMARY MARKET(S) SERVED
NO. OF PLANS/PARTICIPANTS SERVED BY TYPE
[As of 6/30/19] 401(k) ...........................................................375 / 9,500 403(b) ................................................................ 10 / 500 457 ............................................................................0 / 0 Cash Balance ...............................................150 / 3,000 Defined Benefit (Traditional) ..........................25 / 300 Money Purchase .....................................................0 / 0 NQDC .....................................................................0 / 0 Other ........................................................................0 / 0
TOTAL ASSETS ADMINISTERED
$900,000,000
CUSTODIAN(S) USED
TD Ameritrade, Matrix, Schwab
FEE STRUCTURE
Per Participant Fee, Base Fee
SERVICE(S) PROVIDED
» Compliance Support » Preparation of Loan Paperwork » Processing of Loan Application » Non-discrimination Testing » Plan Design Consulting » Actuarial Calculations & Support » Form 5500 Preparation » Enrollment Meeting Support
BB_WIN19_108-133_TPAs.indd 130
KEY CONTACTS
Petros P. Koumantaros | 253.592.6673 | petros@ spectrumpension.com Yannis P. Koumantaros | 253.592.6687 | yannis@ spectrumpension.com Kevin E. Boercker | 253.592.6688 | kboercker@ spectrumpension.com
FIRM PROFILE
Spectrum Pension Consultants (“Spectrum”) delivers products, services, and solutions which support 401(k) and other employer-sponsored retirement plans. Our capabilities focus on retirement plan administration, consulting, documentation, and recordkeeping. Our staff members are required to earn relevant professional ualifications and continuing education, helping to assure we can support advisors and plan sponsors in all aspects of retirement plan design and compliance. Headquartered 30 miles south of Seattle in Tacoma, Washington, Spectrum has worked for thousands of employer organizations since its founding in 1978. Today, our diverse client roster covers every industry vertical, and spans nearly every state in the country. ESTABLISHED: 1978 STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE: CA, HI, WA
PRIMARY MARKET(S) SERVED
NO. OF PLANS/PARTICIPANTS SERVED BY TYPE
[As of 6/30/19] 401(k) ............................................................235 / 5,100 403(b) ...................................................................4 / 200 457 .......................................................................... 2 / 50 Cash Balance ....................................................20 / 600 Defined Benefit (Traditional) ............................5 / 200 Money Purchase .....................................................0 / 0 NQDC .....................................................................0 / 0 Other ........................................................................0 / 0
CUSTODIAN(S) USED
ADP, AIG, American Funds, Ascensus, Charles Schwab, Empower, Fidelity, John Hancock, Lincoln, Mass Mutual, Nationwide, OneAmerica, Principal, Securian, TransAmerica, Voya.
FEE STRUCTURE
Per Participant Fee, Asset-based, Base Fee
SERVICE(S) PROVIDED
» Compliance Support » Preparation of Loan Paperwork » Processing of Loan Application » Non-discrimination Testing » Plan Design Consulting » Actuarial Calculations & Support » Form 5500 Preparation » Plan Committee Meetings » Employee Education » Enrollment Meeting Support » Call Center
KEY CONTACTS
Matt Schoneman | 920.831.3263 | Matt.Schoneman@tra401k.com Jeff Schreiber | 617.694.6628 | Jeffrey.Schreiber@tra401k.com Lisa Showalter | 920.750.7537 | Lisa.Showalter@tra401k.com
FIRM PROFILE
The Retirement Advantage, Inc. (TRA), based in Wisconsin, is a national retirement services company providing third-party administration and fiduciary services to financial advisors, wealth managers and businesses of all sizes. An on-going commitment to providing expert consultation, resources and exceptional customer service has positioned TRA as one of the largest, privately held third-party administrators in the nation. We proudly serve more than 8,000+ plan sponsors with more than $8 billion in retirement assets under administration. National TPA, Regional Sales Consultants (RSC’s) — Presence in all 50 states ESTABLISHED: 1996 STATE(S) WHERE WE HAVE A PHYSICAL PRESENCE: MI, PA, TX, VA, WI
PRIMARY MARKET(S) SERVED
NO. OF PLANS/PARTICIPANTS SERVED BY TYPE
[As of 6/30/19] 401(k) .................................................... 7,044 / 120,781 403(b) ..............................................................111 / 3,216 457 ...................................................................... 22 / 234 Cash Balance ................................................... 237 / 359 Defined Benefit (Traditional) .............................37 / 35 Money Purchase ................................................. 10 / 96 Other .......................................................... 639 / 23,978
TOTAL ASSETS ADMINISTERED
$8,000,000,000
CUSTODIAN(S) USED
Principal, American Funds, John Hancock, Voya, Empower, Lincoln, Transamerica, One America, Nationwide, Ameritas, T. Rowe Price, Aspire, Mass Mutual, Ascensus, CUNA, Mutual of Omaha, Vanguard, Charles Schawb, TD Ameritrade, The Standard, Securian, Merrill
FEE STRUCTURE
Per Participant Fee, Base Fee
SERVICE(S) PROVIDED
» Compliance Support » Preparation of Loan Paperwork » Processing of Loan Application » Non-discrimination Testing » Plan Design Consulting » Actuarial Calculations & Support » Form 5500 Preparation » Call Center
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