Retirement plan

BARON CAPITAL, INC. 401(K) PROFIT SHARING PLAN

Name: BARON CAPITAL, INC. - BARON CAPITAL, INC. 401(K) PROFIT SHARING PLAN (2018) Form 5500
Creator: BARON CAPITAL, INC.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, BARON CAPITAL, INC. 401(K) PROFIT SHARING PLAN, BARON CAPITAL, INC.

BARON CAPITAL, INC.EIN 13-3107580Plan #001PY 2018

767 FIFTH AVENUE, 49TH FLOOR - NEW YORK, NY 10153212-583-2000baronfunds.comLinkedIn51-200 employeesinvestment management

Prospect flagsHigh assets / participant

How to read this page

Total assets (EOY)

$160.8M

-22.8% from 2017

Total participants

174

-4.2% from 2017

Average account balance

$940,611

-19.9% from 2017

Annual return

77.51%

-38.25 pp from 2017

Benchmarks

See 2,193 peers

Peer group

Industry52 - Finance and Insurance

Plan typeDefined contribution

Participants100-249

Cohort2,193 peers

Snapshot2018

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

Analytics

Total assets (EOY)

Plan-year ending balance

$353.88M

Not enough data

1 years with asset history on file

Average account balance

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

$1.3M

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.

282

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.

99.0%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$10.24M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$50K

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

+15.67%

Not enough data

1 years with return on file

Admin fee / account holder

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

$67

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; Shareholder ser...	$4,065
CHARLES SCHWAB & CO., INC.1 year Filed as: CHARLES SCHWAB BANK Service code 25 · EIN 42-1558009	Directed Trustee	$2
CHARLES SCHWAB & CO., INC.3+ years Filed as: CHARLES SCHWAB & CO INC AND AFFIL Service code 59	Shareholder Servicing	$0

Plan features & details

Pension benefit codes2E2F2G2J2R3D3H

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.
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

InformationalHigh assets / participant
Assets per participant exceed $250,000 - top-decile high-value plan.

Expense breakdown

Schedule H Part II

Admin total

$2K

$13 / participant

Investment mgmt$2K80.5%
Other / not subdivided$37319.5%

% of EOY assets

0.001%

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: EISNERAMPER LLP
Auditor EIN: 131639826
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$940,611

$79,523+1082.8%

$140,019+571.8%

$56,289+1571.1%

Participation rate

97.9%

85.7%+12.2pp

87.5%+10.4pp

69.9%+28.0pp

Annual return

77.51%

2.39%+75.1pp

651.19%-573.7pp

-9.96%+87.5pp

Employer contribution / active EE

$25,883

$3,350+672.6%

$5,605+361.8%

$2,111+1126.0%

Participant deferral / active EE

$11,873

$5,129+131.5%

$6,927+71.4%

$3,350+254.4%

Admin fee / account holder

$11

$614-98.2%

$10,705-99.9%

$521-97.9%

Provider

Service type

Compensation

CHARLES SCHWAB & CO., INC.3+ years

Service code 33 · EIN 94-1737782

Securities brokerage; Shareholder ser...

$4,065

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 INC AND AFFIL

Service code 59

Shareholder Servicing

BARON CAPITAL, INC. 401(K) PROFIT SHARING PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

BARON CAPITAL, INC. 401(K) PROFIT SHARING 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