2009 DC Service ProviderFirm______

The International Newspaper of Money Management

2009 Defined Contribution Service ProvidersSurvey

Firm (legal name)______

Address______

City______State______Zip______

Phone______Fax______Website______

1. For how many U.S.defined contribution plan sponsors, participants and assets did you provide record-keeping services as of March 31, 2009?

Number of
participants per plan / Number of sponsors
record kept / Number of participants
record kept / Total DC plan assets
record kept ($ millions)
Up to 999
1,000 – 9,999
10,000 – 24,999
25,000 and over
Total

2. Of your U.S.record-keeping clients as of March 31, 2009, how many were in the following categories?

Total should be the same the total of plan sponsors in Q.1.

Plan sponsor type / Number of sponsors record kept
Corporate 401(k)
Other 401(k)
Taft-Hartley *
457
403(b)
Other DC
Total

* DC member directed.

3a. Do you outsource U.S.record-keeping services? / Yes / No
3b. If yes, name the firm to which you outsource:
4a. What is the total number of mutual fund families available
to U.S.plan sponsors through your current fund alliance structure?
4b. What is the total number of funds available to U.S.plan sponsors in those families?

5. How many professionals did you employin each of the listed areas, for services offered to U.S. plan sponsors,as of March 31, 2009?

If individuals fall into multiple categories, choose the one category that most accurately describes their responsibilities.

DC business professionals / No. professionals
Record-keeping operations *
Investment analysis & due diligence **
Relationship managers
* Including payroll, contributions, loans, reconciliation, rollovers, withdrawals, distributions, transfers, reports, statements, disbursements, processing and administration.
** Product development and investment liaisons to plan sponsors and investment consultants.

If you provide in-house investment management services for defined contribution plan assets:

6a. As of March 31, 2009, how much did you managefor U.S.
institutional, tax-exempt defined contribution plan assets? ($ millions)
Exclude IRAs, Keoghs and SARSEPs; master trust and custody, and global custody assets; assets held in the sponsoring company’s stock; and assets that are under administration-only.
6b. How much of the amount in Q.6a was managed internally? ($ millions)
6c. Check the proprietary investment vehicles you offer to plan sponsors.
Exclude company stock accounts and self-directed brokerage/fund windows.
Mutual funds
Separate accounts
Commingled funds
Stable value/GIC
Other (specify)______

Parent company (if applicable):

If you are reporting on behalf of subsidiaries or affiliates of your company, please list all of those firms.

Client contact:

Prefix / First name / Last name / Suffix
Title
Phone / Fax / E-mail

Primary data contact:

Prefix / First name / Last name / Suffix
Title
Phone / Fax / E-mail

Questionnaire prepared by:

Prefix / First name / Last name / Suffix
Phone / E-mail

Please fax completed questionnaire to Anthony C. Scuderi at 212-210-0436

Due date: Friday, June 19, 2009

1