Download - Epic Advisors & Mutual Of Omaha 401(k)

RMS Orlando EventFebruary 16, 2009RMS Orlando EventFebruary 16, 2009

For Discussion Purposes OnlyNot for Distribution

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Mutual of Omaha History

• Founded in 1909

• 65 Years providing employee benefit solutions

• Retirement Plan Services since 1962

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Our Strength and Size

• More than 6000 retirement plans*

• Strong ratings from all major agencies**

– A.M. Best Company, A+ (Superior – second highest of 16)– Moody’s Investors Service, Aa3 (Excellent – fourth highest of 21)– Standard & Poor’s, AA- (Very Strong – fourth highest of 21)

• Core focus on small to mid-size plans ($1m - $20m of plan assets)

*Total number of plans being served by Mutual of Omaha Retirement Plans Division

**Ratings as of 12-15-08

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Brand Sponsorships

• USA Swimming– USA swimmers and swim clubs

nationwide

• Professional Golf– PGA, LPGA and Nationwide

Tours

• Wild Kingdom– Pioneered the format now

common to nature shows

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• Why Mutual of Omaha?

• Investment Selection / Fiduciary Support

• Individually Managed Account Option

• Service Model

Topics of Discussion

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Fiduciary Support

A Three-Tiered Approach to Fiduciary Support

Callan

Mesirow

PMFM


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Callan Associates Inc., Product-Level Oversight

• Consultant on almost $1 trillion in plan assets*

• Provides strategic investment consulting for Mutual of Omaha’s

retirement-savings product

• Ongoing performance monitoring and evaluation

• Managers that no longer meet investment criteria are replaced

• Quarterly due diligence reports

*Includes plans outside of Mutual of Omaha.

Callan

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Mesirow Financial - Plan-Level Guidance

• Co-Fiduciary to the plan – they will defend their process

(acknowledgement of fiduciary responsibility in writing)

• Investment policy statement

• Investment selection and monitoring performed quarterly

• The Mesirow Financial P.O.L.I.C.E. (due diligence) Reports issued

quarterly

• The Mesirow Financial Elite fund lists

Callan

Mesirow

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Investments Chosen are from Leading Investment Managers

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Mutual Directions® Professional Investment Portfolios

High

Ris

k T

oler

ance

/Ret

urn

Obj

ectiv

es

Low

Mutual Directions 2

Mutual Directions 3

Mutual Directions 4

Mutual Directions 5

Mutual Directions 1

Short Time Horizon Long

Stocks

Bonds

Fixed Income

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Mutual GlidePathSM Portfolios

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401k Toolbox®

Tim McCabe – Senior VP Sales

Callan

MesirowPMFM

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401k Toolbox®

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401k Toolbox®

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401k Toolbox®

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401k Toolbox®

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401k Toolbox®

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401k Toolbox®

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401k Toolbox®

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401k Toolbox®

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401k Toolbox®

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401k Toolbox®

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401k Toolbox®

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401k Toolbox®

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401k Toolbox®

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PLANSPONSOR Magazine October 2007


PMFM ToolboxIndividually Managed Account

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401k Toolbox®

Tim McCabe800-222-7636

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• Online storage of fiduciary documents for plan sponsors

• Mutual of Omaha will automatically store documents at plan set up

• Mutual of Omaha will post ongoing updates

• Plan Sponsor can add their own customized documents to the site to meet their needs

What is FOCLpoint

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Enrollment Meetings / Options

• Meetings performed by Relationship Manager coordinated with

advisor

• Default Enrollments (mapped, or QDIA)

• Webex Enrollment

• Enrollment Booklets - Paper

• Online Enrollments – Telephonic or Electronic


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Plan-Level Services*

• Provide an Investment Policy Statement

• Annual Plan Reviews – (on site with Omaha Relationship Manager)

• Enrollment support on cases above $500,000

• Relationship Managers assigned to every case

• Home Office presentation support on cases above $1 million

• TPA and Full-Service models

*Services vary by service agreement and plan.

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Participant Services – Projection Planner Statements

• Personalized Statements can be generated to show participants if they are on track for retirement

• Offer suggested changes in contributions to help them get on track

• Assembled in English or Spanish

• Delivered to either plan or each participant’s address

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Flexible Service Options

Quarterly Statements and Newsletter

Telephone Assistance for Participants

7:00 am–7:00 pm CT

Online Account Access and Transaction Capability

Automated Telephone Service


Comprehensive Participant Services

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Participant Services – Education Flyers

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TECKMEYER FINANCIAL SERVICES

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Testament to Our Service Model*

• 98% retention rate among existing clients

• Over 99% Asset Retention Rate

*Based on 2007 Retention Rate for Controllable Plans