Retirement plan

CRAIG-HALLUM CAPITAL GROUP LLC 401(K)PLAN

Name: CRAIG-HALLUM CAPITAL GROUP LLC - CRAIG-HALLUM CAPITAL GROUP LLC 401(K)PLAN (2019) 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 2019

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

Prospect flagsCorrective distributions

How to read this page

Total assets (EOY)

$26M

+19.1% from 2018

Total participants

124

+4.2% from 2018

Average account balance

$214,703

+8.2% from 2018

Annual return

22.13%

+23.30 pp from 2018

Benchmarks

See 7,338 peers

Peer group

Industry52 - Finance and Insurance

Plan typeDefined contribution

Participants25-99

Cohort7,338 peers

Snapshot2019

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 2 by compensation

Provider	Service type	Compensation
CHARLES SCHWAB & CO., INC.4 years Service code 33 · EIN 94-1737782	Float revenue; Direct payment from th...	$15,194
CHARLES SCHWAB & CO., INC.4 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

$5K

$58 / participant

Investment mgmt$4K67.4%
Other / not subdivided$2K32.6%

% of EOY assets

0.021%

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 US, LLP
Auditor EIN: 390859910
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$214,703

$109,359+96.3%

$162,185+32.4%

$72,976+194.2%

Participation rate

96.8%

84.3%+12.5pp

87.6%+9.2pp

69.5%+27.3pp

Annual return

22.13%

25.46%-3.3pp

115.61%-93.5pp

81.02%-58.9pp

Employer contribution / active EE

$5,508

$3,907+41.0%

$5,613-1.9%

$2,440+125.7%

Participant deferral / active EE

$11,787

$5,481+115.0%

$7,297+61.5%

$3,608+226.7%

Admin fee / account holder

$45

$7,972-99.4%

$10,844-99.6%

$5,124-99.1%

Provider

Service type

Compensation

CHARLES SCHWAB & CO., INC.4 years

Service code 33 · EIN 94-1737782

Float revenue; Direct payment from th...

$15,194

CHARLES SCHWAB & CO., INC.4 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