Retirement plan

CRAIG-HALLUM CAPITAL GROUP LLC 401(K)PLAN

Name: CRAIG-HALLUM CAPITAL GROUP LLC - CRAIG-HALLUM CAPITAL GROUP LLC 401(K)PLAN (2018) Form 5500
Creator: CRAIG-HALLUM CAPITAL GROUP LLC
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, CRAIG-HALLUM CAPITAL GROUP LLC 401(K)PLAN, CRAIG-HALLUM CAPITAL GROUP LLC

CRAIG-HALLUM CAPITAL GROUP LLCEIN 04-3672881Plan #001PY 2018

222 SOUTH NINTH STREET, SUITE 350 - MINNEAPOLIS, MN 55402612-334-6323

Prospect flagsCorrective distributions

How to read this page

Total assets (EOY)

$21.8M

-3.4% from 2017

Total participants

119

-4.8% from 2017

Average account balance

$198,379

+4.5% from 2017

Annual return

-1.18%

-22.56 pp from 2017

Benchmarks

See 7,475 peers

Peer group

Industry52 - Finance and Insurance

Plan typeDefined contribution

Participants25-99

Cohort7,475 peers

Snapshot2018

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

Analytics

Total assets (EOY)

Plan-year ending balance

$52.16M

Not enough data

1 years with asset history on file

Average account balance

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

$450K

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.

116

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.

89.8%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$1.97M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$22K

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

+16.97%

Not enough data

1 years with return on file

Admin fee / account holder

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

$30

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 3 by compensation

Provider	Service type	Compensation
CHARLES SCHWAB & CO., INC.3 years Service code 33 · EIN 94-1737782	Securities brokerage commissions and ...	$20,757
CHARLES SCHWAB & CO., INC.1 year Filed as: CHARLES SCHWAB BANK Service code 25 · EIN 42-1558009	Directed Trustee	$3
CHARLES SCHWAB & CO., INC.3 years Filed as: CHARLES SCHWAB & CO AND AFFILIATES Service code 59	Shareholder Servicing	$0

Plan features & details

Pension benefit codes2E2G2J2R3D3H

Plan features

2E
Profit-sharing
Profit-sharing plan.
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.
2R
Participant-directed brokerage accounts
Participant-directed brokerage accounts provided as an investment option under the plan.
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.
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

1 tripped

ComplianceCorrective distributions
Plan reported corrective distributions (failed ADP/ACP testing).

Expense breakdown

Schedule H Part II

Admin total

$6K

$65 / participant

Investment mgmt$3K55.8%
Other / not subdivided$3K44.2%

% of EOY assets

0.028%

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: BAKER TILLY VIRCHOW KRAUSE, LLP
Auditor EIN: 390859910
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$198,379

$94,529+109.9%

$140,019+41.7%

$64,173+209.1%

Participation rate

90.3%

84.1%+6.2pp

87.5%+2.8pp

69.6%+20.8pp

Annual return

-1.18%

7.77%-8.9pp

651.17%-652.3pp

7.63%-8.8pp

Employer contribution / active EE

$6,408

$3,812+68.1%

$5,605+14.3%

$2,381+169.1%

Participant deferral / active EE

$12,594

$5,250+139.9%

$6,927+81.8%

$3,470+263.0%

Admin fee / account holder

$55

$6,741-99.2%

$10,705-99.5%

$4,887-98.9%

Provider

Service type

Compensation

CHARLES SCHWAB & CO., INC.3 years

Service code 33 · EIN 94-1737782

Securities brokerage commissions and ...

$20,757

CHARLES SCHWAB & CO., INC.1 year

Filed as: CHARLES SCHWAB BANK

Service code 25 · EIN 42-1558009

Directed Trustee

CHARLES SCHWAB & CO., INC.3 years

Filed as: CHARLES SCHWAB & CO AND AFFILIATES

Service code 59

Shareholder Servicing

CRAIG-HALLUM CAPITAL GROUP LLC 401(K)PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

CRAIG-HALLUM CAPITAL GROUP LLC 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