Voya Financial

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™.

Our Retirement business is a leading provider of retirement products and services in the U.S. serving nearly 47,000 institutional clients and nearly 4.5 million individual retirement plan accounts. VOYA® also has 2,100 financial advisors serving the retail market. VOYA’s Retirement business is focused on guiding Americans to greater retirement readiness through employer-sponsored savings plans and holistic retirement accumulation and income guidance.

KEY CONTACTS
Sales: Bill Elmslie, 860-580-1655, william.elmslie@voya.com

Sales: Jon Reilly, 714-319-7354, jonathan.reilly@voya.com

Service: Amy Vaillancourt, 860-580-2396, amy.vaillancourt@voya.com

Service: Jon Reilly, 714-319-7354, jonathan.reilly@voya.com

WEBSITE
www.Voya.com

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

Voya Financial is one of a few vendors that offers plans, services and support to the full spectrum of businesses ranging from small to mega sized plans and across all industries.

# OF PLANS/PARTICIPANTS SERVED BY TYPE
As of 12/30/16
401(k): 21,464/2,309,866
403(b): 20,176/905,771
457: 5,336/1,312,319
NQDC: 58/19,566
Other: 11/83,574

PLANS BY CHANNEL (Direct/Advisor): 17/83
Platforms used: Primarily SunGard OmniASP

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. Most fund families are available on our open architecture platform offered to the majority of our plans.

Voya is a leader in target date capabilities and our sophisticated target date glide path is designed to optimize outcomes for individuals. Voya target date funds seek to maximize asset accumulation in the early years by taking more aggressive equity positions relative to the industry average. The funds shift emphasis to asset protection in later years, reducing risk and ultimately reaching their most conservative equity allocation of 35% at retirement to help investors hold onto what they have accumulated in a lifetime of saving. Other unique features of Voya’s target date funds include broad diversification across traditional and non-traditional asset classes, tactical asset allocation flexibility to benefit from active risk management and potentially higher returns, and open-architecture approach that blends active and passive strategies (pertains to Voya Target Date suites that invest in active managers).

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. Most fund families are available on our open architecture platform offered to the majority of our plans.

ADVISOR SUPPORT SERVICES
External wholesalers focused on advisors: 86
External wholesalers focused on institutional: 50
Internal wholesalers focused on advisors: 44
Internal wholesalers focused on institutional: 5

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 and business support Legislative updates

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
• Multi-lingual communications
• Financial accounts aggregation tool
• Financial planning and managed accounts/advisory programs
• Self-directed brokerage
• Unique and interactive myOrangeMoney™ digital experience that helps shift participants’ mindset from accumulation to retirement income

PLAN SPONSOR SUPPORT SERVICES
• Flexible plan design across all internal revenue codes
• Compliance/regulatory guidance and reporting
• Comprehensive plan health reviews/benchmarking
• Industry leading technology & dedicated support
• Comprehensive fiduciary solutions
• 360 payroll integration
• Employee education/planning tools & materials