Retirement plan

CAPITAL MARKETS COMPANY 401(K) PLAN

Name: CAPITAL MARKETS COMPANY - CAPITAL MARKETS COMPANY 401(K) PLAN (2016) Form 5500
Creator: CAPITAL MARKETS COMPANY
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, CAPITAL MARKETS COMPANY 401(K) PLAN, CAPITAL MARKETS COMPANY

CAPITAL MARKETS COMPANYEIN 04-3441053Plan #001PY 2016

77 WATER STREET, 10TH FLOOR - NEW YORK, NY 10005212-284-8731boldmatrix.comLinkedIn1-10 employeescapital markets

Prospect flagsFailed to transmit contributionsCorrective distributions

How to read this page

Total assets (EOY)

$51.4M

+14.5% from 2015

Total participants

1,194

+9.2% from 2015

Average account balance

$45,303

+6.2% from 2015

Annual return

7.50%

+2.90 pp from 2015

Benchmarks

See 2,524 peers

Peer group

Industry54 - Professional, Scientific, and Technical Services

Plan typeDefined contribution

Participants250-999

Cohort2,524 peers

Snapshot2016

Free accounts unlock saves, downloads, and 3-year history.

Analytics

Total assets (EOY)

Plan-year ending balance

Not enough data

1 years with asset history on file

Average account balance

Total assets / participants with a balance (line 6g)

Not enough data

0 years with per-participant data

Participants with account balance

Stacked by status: active / separated vested / retired or beneficiary. Total = line 6g.

Not enough data

0 years with headcount on file

Eligible Participants and Participation

Bars: eligible actives (line 6a). Line: derived rate = active employees with a balance / 6a.

Not enough data

0 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

Not enough data

0 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

Not enough data

0 years with per-participant contribution data

Asset flow

BOY + contributions + return - distributions = EOY

Year

Annual return

Diverging bars; negative years highlighted

+14.42%

Not enough data

1 years with return on file

Admin fee / account holder

Total admin expenses / participants with a balance (line 6g)

Not enough data

1 years with admin cost on file

Asset composition

Cash / stocks / bonds / mutual funds / real estate / loans over time

Not enough data

0 years with F_SCH_H allocation on file

Free accounts unlock saves, downloads, and 3-year history.

Service providers

Top 5 by compensation

Provider	Service type	Compensation
STRATEGIC ADVISORS, INC.2+ years Service code 27 · EIN 04-2654524	Advisory (Plan)	$22,575
BDO USA, LLP1 year Filed as: BDO Service code 10 · EIN 13-5381590	Accounting	$20,613
NEWPORT GROUP, INC.1 year Filed as: NEWPORT GROUP SECURITIES, INC. Service code 27 · EIN 37-0967450	Advisory (Plan)	$7,613
SMITH, GAMBRELL & RUSSELL, LLP1 year Service code 29 50 NORTH LAURA STREET, · JACKSONVILLE, FL 32202	Legal	$6,973
FIDELITY INVESTMENTS INSTITUTIONAL2+ years Service code 37 · EIN 04-2647786	Loan Processing	-$8,750

Plan features & details

Pension benefit codes2F2G2J2K2T3D3F3H

Plan features

2F
ERISA section 404(c) plan
This plan or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1 (shifting investment responsibility to participants).
2G
Total participant-directed account plan
Participants have the opportunity to direct the investment of all of the assets allocated to their individual accounts regardless of whether 29 CFR 2550.404c-1 is intended to be met.
2J
Code section 401(k) feature
Cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan under which employees may elect to defer part of their compensation or receive these amounts in cash.
2K
Code section 401(m) arrangement
Employee contributions are allocated to separate accounts under the plan or employer contributions are based in whole or in part on employee deferrals or contributions to the plan. Not applicable to 401(k) plans with only QNECs and/or QMACs or to 403(b)(1) 403(b)(7) or 408 arrangements.
2T
Default investment account
Total or partial participant-directed account plan where plan uses a default investment account for participants who fail to direct assets in their account.
3D
Pre-approved pension plan
A master prototype or volume submitter plan that is the subject of a favorable opinion or advisory letter from the IRS.
3F
Leased employees
Plan sponsor(s) received services of leased employees as defined in Code section 414(n) during the plan year.
3H
Controlled group member
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b) (c) or (m)).

Opportunity flags

2 tripped

ComplianceFailed to transmit contributions
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
ComplianceCorrective distributions
Plan reported corrective distributions (failed ADP/ACP testing).

Expense breakdown

Schedule H Part II

Admin total

$49K

$62 / participant

Investment mgmt$23K46.2%
Other / not subdivided$26K53.8%

% of EOY assets

0.095%

all-in expense ratio

Categories reported

1 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Disclaimer opinion

Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.

Auditor firm: BDO USA, LLP
Auditor EIN: 135381590
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$45,303

$80,177-43.5%

$123,894-63.4%

$57,658-21.4%

Participation rate

92.4%

74.4%+17.9pp

81.4%+11.0pp

70.2%+22.1pp

Annual return

7.50%

17.90%-10.4pp

47.52%-40.0pp

5.13%+2.4pp

Employer contribution / active EE

$3,858

$2,913+32.5%

$4,617-16.4%

$1,974+95.5%

Participant deferral / active EE

$8,979

$5,130+75.0%

$5,984+50.0%

$3,061+193.4%

Admin fee / account holder

$43

$106-59.5%

$8,357-99.5%

$95-54.4%

Provider

Service type

Compensation

STRATEGIC ADVISORS, INC.2+ years

Service code 27 · EIN 04-2654524

Advisory (Plan)

$22,575

BDO USA, LLP1 year

Filed as: BDO

Service code 10 · EIN 13-5381590

Accounting

$20,613

NEWPORT GROUP, INC.1 year

Filed as: NEWPORT GROUP SECURITIES, INC.

Service code 27 · EIN 37-0967450

Advisory (Plan)

$7,613

SMITH, GAMBRELL & RUSSELL, LLP1 year

Service code 29

50 NORTH LAURA STREET, · JACKSONVILLE, FL 32202

Legal

$6,973

FIDELITY INVESTMENTS INSTITUTIONAL2+ years

Service code 37 · EIN 04-2647786

Loan Processing

-$8,750

CAPITAL MARKETS COMPANY 401(K) PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

CAPITAL MARKETS COMPANY 401(K) PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

Benchmarks

Service providers

Opportunity flags

Expense breakdown

Audit opinion

Benchmarks

Service providers

Opportunity flags

Expense breakdown

Audit opinion