Retirement plan

DELAWARE NORTH COMPANIES 401(K) PLAN

Name: DELAWARE NORTH COMPANIES, INCORPORATED - DELAWARE NORTH COMPANIES 401(K) PLAN (2015) Form 5500
Creator: DELAWARE NORTH COMPANIES, INCORPORATED
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, DELAWARE NORTH COMPANIES 401(K) PLAN, DELAWARE NORTH COMPANIES, INCORPORATED

DELAWARE NORTH COMPANIES, INCORPORATEDEIN 16-0994528Plan #004PY 2015

250 DELAWARE AVENUE - BUFFALO, NY 142022014716-858-5000delawarenorthcompanies.comLinkedIn51-200 employees

Other plans on this EIN

1 filing

#007Retirement-$32.2M assets

Prospect flagsLow returnsLow participationCorrective distributions

Top hat statement on fileNQDC

Filed January 20, 2006 (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)

$182.6M

No prior year

Total participants

7,486

No prior year

Average account balance

$49,840

No prior year

Annual return

-0.08%

No prior year

Benchmarks

See 67 peers

Peer group

Industry54 - Professional, Scientific, and Technical Services

Plan typeDefined contribution

Participants5,000-9,999

Cohort67 peers

Snapshot2015

See peer percentile detail. $4.99 for your first month.

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Analytics

Total assets (EOY)

Plan-year ending balance

$343.54M

Not enough data

1 years with asset history on file

Average account balance

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

$75K

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.

4,572

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.

33.2%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$31.26M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$3K

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

+11.96%

Not enough data

1 years with return on file

Admin fee / account holder

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

$96

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
MORGAN STANLEY SMITH BARNEY1+ years Filed as: MORGANSTANLEY SMITHBARNEY LLC Service code 49 · EIN 26-4310632	Other Services	$78,000
JOHN HANCOCK LIFE INSURANCE COMPANY1+ years Filed as: JOHN HANCOCK RETIREMENT PLAN SVCS. Service code 15 · EIN 01-0233346	Recordkeeping	$50,904
JP MORGAN INVESTMENT MANAGEMENT INC1+ years Filed as: NEW YORK LIFE INVESTMENT MANAGEMENT Service code 15 · EIN 52-2206685	Recordkeeping	$29,113
HARTER SECREST & EMERY LLP1+ years Filed as: HARTER SEACREST & EMERY Service code 29 · EIN 16-0766172	Legal	$9,645
TRONCONI SEGARRA & ASSOCIATES1+ years Service code 10 · EIN 04-3728817	Accounting	$5,500

Plan features & details

Pension benefit codes2E2F2G2J2K2T3D3H

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.
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

3 tripped

OpportunityLow participation
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
OpportunityLow returns
Annual investment return is in the bottom quintile of the peer cohort.
ComplianceCorrective distributions
Plan reported corrective distributions (failed ADP/ACP testing).

Expense breakdown

Schedule H Part II

Admin total

$173K

$27 / participant

Investment mgmt$78K45.0%
Contract admin$80K46.2%
Other / not subdivided$15K8.7%

% of EOY assets

0.095%

all-in expense ratio

Categories reported

2 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Disclaimer opinion

The auditor declined to give an opinion. This is usually a 103(a)(3)(C) limited-scope election.

Auditor firm: TRONCONI SEGARRA
Auditor EIN: 043728817
Audit fees: (not subdivided)
Opinion code: Disclaimer

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Metric

This plan

Peer set

Industry

Size

Avg account balance

$49,840

$79,558-37.4%

$115,037-56.7%

$67,505-26.2%

Participation rate

40.1%

74.3%-34.2pp

81.4%-41.3pp

71.2%-31.1pp

Annual return

-0.08%

4.65%-4.7pp

26.14%-26.2pp

6.52%-6.6pp

Employer contribution / active EE

$744

$2,529-70.6%

$4,608-83.9%

$2,173-65.8%

Participant deferral / active EE

$1,532

$5,510-72.2%

$6,026-74.6%

$3,597-57.4%

Admin fee / account holder

$47

$60-21.0%

$8,175-99.4%

$56-15.8%

Provider

Service type

Compensation

MORGAN STANLEY SMITH BARNEY1+ years

Filed as: MORGANSTANLEY SMITHBARNEY LLC

Service code 49 · EIN 26-4310632

Other Services

$78,000

JOHN HANCOCK LIFE INSURANCE COMPANY1+ years

Filed as: JOHN HANCOCK RETIREMENT PLAN SVCS.

Service code 15 · EIN 01-0233346

Recordkeeping

$50,904

JP MORGAN INVESTMENT MANAGEMENT INC1+ years

Filed as: NEW YORK LIFE INVESTMENT MANAGEMENT

Service code 15 · EIN 52-2206685

Recordkeeping

$29,113

HARTER SECREST & EMERY LLP1+ years

Filed as: HARTER SEACREST & EMERY

Service code 29 · EIN 16-0766172

Legal

$9,645

TRONCONI SEGARRA & ASSOCIATES1+ years

Service code 10 · EIN 04-3728817

Accounting

$5,500

DELAWARE NORTH COMPANIES 401(K) PLAN

Top hat statement on fileNQDC

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

DELAWARE NORTH COMPANIES 401(K) 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