Retirement plan

CONNING & COMPANY (U.S.) RETIREMENT SAVINGS PLAN

Name: CONNING & COMPANY - CONNING & COMPANY (U.S.) RETIREMENT SAVINGS PLAN (2022) Form 5500
Creator: CONNING & COMPANY
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, CONNING & COMPANY (U.S.) RETIREMENT SAVINGS PLAN, CONNING & COMPANY

CONNING & COMPANYEIN 06-1174588Plan #003PY 2022

ONE FINANCIAL PLAZA - HARTFORD, CT 06103860-299-2000conning.comLinkedIn201-500 employeesfinancial services

Prospect flagsHigh assets / participantCorrective distributions

Top hat statement on fileNQDC

Filed September 16, 2005 (most recent of 3 filings on file)

This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.

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How to read this page

Total assets (EOY)

$118.7M

-17.0% from 2021

Total participants

456

+4.1% from 2021

Average account balance

$260,368

-20.7% from 2021

Annual return

-14.39%

-30.71 pp from 2021

Benchmarks

See 1,529 peers

Peer group

Industry52 - Finance and Insurance

Plan typeDefined contribution

Participants250-999

Cohort1,529 peers

Snapshot2022

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Analytics

Total assets (EOY)

Plan-year ending balance

$184.85M

Not enough data

1 years with asset history on file

Average account balance

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

$358K

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.

516

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.

94.7%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$8.18M

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

+15.98%

Not enough data

1 years with return on file

Admin fee / account holder

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

$193

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

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Service providers

Top 5 by compensation

Provider	Service type	Compensation
GREAT-WEST LIFE & ANNUITY INSURANCE1 year Filed as: EMPOWER LIFE & ANNUITY INSURANCE Service code 15 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111	Recordkeeping	$78,482
GREAT-WEST LIFE & ANNUITY INSURANCE1 year Filed as: EMPOWER ADVISORY GROUP, LLC Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111	Investment Management	$18,098
CLIFTONLARSONALLEN LLP2 years Filed as: CLIFTON LARSONALLEN, LLP Service code 10 1301 W 22ND ST STE 1100 · OAK BROOK, IL 60523	Accounting	$11,550
MMA SECURITIES LLC1 year Filed as: MARSH USA INC Service code 10 2929 ALLEN PKWY., SUITE 2500 · HOUSTON, TX 770192178	Accounting	$7,500
CHARLES SCHWAB & CO., INC.8+ years Service code 33 · EIN 94-1737782	Securities brokerage	$89

Plan features & details

Pension benefit codes2E2F2G2J2K2R2S2T3D3H2U

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.
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.
2R
Participant-directed brokerage accounts
Participant-directed brokerage accounts provided as an investment option under the plan.
2S
Automatic enrollment
Plan provides for automatic enrollment in plan that has elective contributions deducted from payroll.
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.
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

ComplianceCorrective distributions
Plan reported corrective distributions (failed ADP/ACP testing).
InformationalHigh assets / participant
Assets per participant exceed $250,000 - top-decile high-value plan.

Expense breakdown

Schedule H Part II

Admin total

$116K

$326 / participant

Investment mgmt$37K32.2%
Contract admin$78K67.8%

% of EOY assets

0.097%

all-in expense ratio

Categories reported

2 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Unqualified opinion

The auditor signed off without reservation. This is the cleanest opinion.

Auditor firm: CLIFTONLARSONALLEN LLP
Auditor EIN: 410746749
Audit fees: (not subdivided)
Opinion code: Unqualified

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Metric

This plan

Peer set

Industry

Size

Avg account balance

$260,368

$86,897+199.6%

$151,611+71.7%

$64,808+301.8%

Participation rate

100.0%

87.3%+12.7pp

87.5%+12.5pp

71.5%+28.5pp

Annual return

-14.39%

-3.57%-10.8pp

3.33%-17.7pp

32.82%-47.2pp

Employer contribution / active EE

$8,794

$4,010+119.3%

$6,166+42.6%

$2,506+251.0%

Participant deferral / active EE

$14,660

$6,690+119.1%

$8,363+75.3%

$4,310+240.1%

Admin fee / account holder

$254

$153+65.9%

$11,616-97.8%

$188+35.1%

Provider

Service type

Compensation

GREAT-WEST LIFE & ANNUITY INSURANCE1 year

Filed as: EMPOWER LIFE & ANNUITY INSURANCE

Service code 15

8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111

Recordkeeping

$78,482

GREAT-WEST LIFE & ANNUITY INSURANCE1 year

Filed as: EMPOWER ADVISORY GROUP, LLC

Service code 28

8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111

Investment Management

$18,098

CLIFTONLARSONALLEN LLP2 years

Filed as: CLIFTON LARSONALLEN, LLP

Service code 10

1301 W 22ND ST STE 1100 · OAK BROOK, IL 60523

Accounting

$11,550

MMA SECURITIES LLC1 year

Filed as: MARSH USA INC

Service code 10

2929 ALLEN PKWY., SUITE 2500 · HOUSTON, TX 770192178

Accounting

$7,500

CHARLES SCHWAB & CO., INC.8+ years

Service code 33 · EIN 94-1737782

Securities brokerage

$89

CONNING & COMPANY (U.S.) RETIREMENT SAVINGS PLAN

Top hat statement on fileNQDC

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

CONNING & COMPANY (U.S.) RETIREMENT SAVINGS PLAN

Top hat statement on fileNQDC

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