Alliance Benefit Group Southwest, LLC
FIRM INFORMATION 7425 Jefferson Street NE, Albuquerque, NM 87109
Dennis Davis, (505) 998-3294, ddavis@abgsw.com
abgsw.comBUSINESS PROFILEYear established:
1996National or local TPA:
NationalAre you a producing TPA or a 'non-producing TPA'?
EitherDC recordkeeping platform:
Yes (use our own platform only with some clients; use partner platforms for other clients)NUMBER OF PERSONNEL SERVING RETIREMENT PLANSSenior management:
3Other managers/administrators:
4Actuaries:
Sales staff:
Support staff:
1RETIREMENT PLAN PROFILERetirement plan assets under administration:
465,494,933Total number of retirement plans under administration:
125Total number of retirement plan participants under administration:
31,785NUMBER OF PLANS BY TYPE401(k):
109403(b):
0457:
3Nonqualified Deferred Compensation:
5Other DC:
8Defined Benefit/Cash Balance/Hybrid:
FEE STRUCTURESFixed fee:
Fixed fee dependent on services chosenPer participant fee:
YesBasis points on assets:
YesOther:
Fees offset by revenue sharing agreements?
It depends (please specify conditions below): Use of revenue sharing, if applicable, is determined by the Plan Sponsor.State(s) where offices are located:
Arizona (AZ), New Mexico (NM)PLAN ASSET SIZES SERVED<$1 million:
Yes$1 million - $5 million:
Yes>$5 million - $10 million:
Yes>$10 million - $25 million:
Yes>$25 million - $50 million:
Yes>$50 million - $100 million:
Yes>$100 million - $200 million:
No>$200 million - $500 million:
No>$500 million - $1 billion:
No>$1 billion:
NoRECORDKEEPING RELATIONSHIPSNumber of recordkeepers with DC selling agreements:
0Number of recordkeepers with DC assets:
3Number of recordkeepers where new plans placed:
3FIDUCIARY SERVICESPlan level 3(16) services:
NoPlan level 3(38) services:
YesParticipant level fiduciary services:
YesPRODUCTS/SERVICES OFFERED TO ADVISERS AND/OR PLANSCompliance support:
YeaPlan benchmarking:
YesTarget-date evaluation tools:
NoInvestment committee meetings:
NoDesign/amend DC plan documents:
YesDesign/amend DB plan documents:
NoRecordkeeper transitions:
YesPrepare benefit statements:
YesProcess plan distributions:
YesPrepare loan paperwork:
YesNon-discrimination testing:
YesAllocation of contributions/forfeitures:
YesCalculate participant vesting %:
YesActuarial calculations & support:
NoForm 5500 preparation:
YesForm 5500 signing:
YesPlan audit support:
YesQDRO review:
NoSmall rollover IRA processing:
YesProvide fiduciary education:
YesAnnual 408(b)(2) assessment of fees:
YesInvestment selection services:
NoInvestment monitoring:
NoPRODUCTS/SERVICES OFFERED TO PLAN PARTICIPANTSEnrollment meetings (at time of hire):
YesRe-Enrollment meetings (after hire):
YesOne-on-one meetings with participants:
YesRollover assistance (into plan):
YesDistribution assistance (upon separation):
YesRetirement income planning:
NoFinancial/debt counseling:
NoEstate/tax planning:
NoAuthorize participant requests:
YesPrepare/deliver required participant notices:
Yes
