Retirement plan

ASSURED INFORMATION SECURITY, INC. EMPLOYEES 401(K) PLAN

Name: ASSURED INFORMATION SECURITY, INC. - ASSURED INFORMATION SECURITY, INC. EMPLOYEES 401(K) PLAN (2016) Form 5500
Creator: ASSURED INFORMATION SECURITY, INC.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, ASSURED INFORMATION SECURITY, INC. EMPLOYEES 401(K) PLAN, ASSURED INFORMATION SECURITY, INC.

ASSURED INFORMATION SECURITY, INC.EIN 04-3608903Plan #001PY 2016

153 BROOKS ROAD - ROME, NY 13441315-336-3306ainfosec.comLinkedIn201-500 employeesdefense & space

Prospect flagsNo flags tripped

How to read this page

Total assets (EOY)

$21.6M

+18.8% from 2015

Total participants

298

+25.2% from 2015

Average account balance

$72,551

-5.1% from 2015

Annual return

13.61%

+9.49 pp from 2015

Benchmarks

See 5,032 peers

Peer group

Industry54 - Professional, Scientific, and Technical Services

Plan typeDefined contribution

Participants100-249

Cohort5,032 peers

Snapshot2016

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

Analytics

Total assets (EOY)

Plan-year ending balance

$54.81M

Not enough data

1 years with asset history on file

Average account balance

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

$159K

Not enough data

1 years with per-participant data

Participants with account balance

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

345

Not enough data

1 years with headcount on file

Eligible Participants and Participation

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

98.2%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$4.47M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$20K

Not enough data

1 years with per-participant contribution data

Asset flow

BOY + contributions + return - distributions = EOY

Year

Annual return

Diverging bars; negative years highlighted

+15.31%

Not enough data

1 years with return on file

Admin fee / account holder

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

$76

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

1 years with F_SCH_H allocation on file

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

Service providers

Top 6 by compensation

Provider	Service type	Compensation
GREAT-WEST LIFE & ANNUITY INSURANCE2+ years Filed as: FIRST GREAT WEST LIFE & ANNUITY Service code 64 · EIN 93-1225432	Recordkeeping Fees	$35,798
INVEST FINANCIAL CORPORATION1 year Filed as: INVEST FINANCIAL CORP Service code 27 PO BOX 5097 · APPLETON, WI 54912	Advisory (Plan)	$28,389
ONEIDA SAVINGS BANK2+ years Filed as: ONEIDA WEALTH MANAGEMENT INC Service code 55	Other Commissions	$13,322
ONEIDA SAVINGS BANK2+ years Filed as: ONEIDA WEALTH MANAGEMENT Service code 27 · EIN 20-5076269	Advisory (Plan)	$3,912
ONEIDA SAVINGS BANK2+ years Service code 13 · EIN 15-0405820	Contract Administrator	$3,333
GREAT-WEST LIFE & ANNUITY INSURANCE1 year Filed as: EMPOWER RETIREMENT ADVISORY SVC Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111	Investment Management	$2,459

Plan features & details

Pension benefit codes2E2F2G2J2T3D

Plan features

2E
Profit-sharing
Profit-sharing plan.
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.
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.

Opportunity flags

0 tripped

No flags tripped for this filing year. This plan looks clean.

Expense breakdown

Schedule H Part II

Admin total

$38K

$202 / participant

Investment mgmt$38K99.5%
Contract admin$2000.5%

% of EOY assets

0.175%

all-in expense ratio

Categories reported

2 / 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: D'ARCANGELO & CO., LLP
Auditor EIN: 132550103
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$72,551

$75,183-3.5%

$123,894-41.4%

$55,167+31.5%

Participation rate

100.0%

72.8%+27.2pp

81.4%+18.6pp

69.0%+31.0pp

Annual return

13.61%

19.01%-5.4pp

47.52%-33.9pp

169.23%-155.6pp

Employer contribution / active EE

$7,302

$2,823+158.6%

$4,617+58.2%

$1,963+272.0%

Participant deferral / active EE

$7,049

$5,084+38.6%

$5,984+17.8%

$3,054+130.8%

Admin fee / account holder

$127

$663-80.8%

$8,357-98.5%

$504-74.8%

Provider

Service type

Compensation

GREAT-WEST LIFE & ANNUITY INSURANCE2+ years

Filed as: FIRST GREAT WEST LIFE & ANNUITY

Service code 64 · EIN 93-1225432

Recordkeeping Fees

$35,798

INVEST FINANCIAL CORPORATION1 year

Filed as: INVEST FINANCIAL CORP

Service code 27

PO BOX 5097 · APPLETON, WI 54912

Advisory (Plan)

$28,389

ONEIDA SAVINGS BANK2+ years

Filed as: ONEIDA WEALTH MANAGEMENT INC

Service code 55

Other Commissions

$13,322

ONEIDA SAVINGS BANK2+ years

Filed as: ONEIDA WEALTH MANAGEMENT

Service code 27 · EIN 20-5076269

Advisory (Plan)

$3,912

ONEIDA SAVINGS BANK2+ years

Service code 13 · EIN 15-0405820

Contract Administrator

$3,333

GREAT-WEST LIFE & ANNUITY INSURANCE1 year

Filed as: EMPOWER RETIREMENT ADVISORY SVC

Service code 28

8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111

Investment Management

$2,459

ASSURED INFORMATION SECURITY, INC. EMPLOYEES 401(K) PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

ASSURED INFORMATION SECURITY, INC. EMPLOYEES 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