Retirement plan

SLOCUM-DICKSON MEDICAL GROUP, PLLC RETIREMENT PLAN

Name: SLOCUM-DICKSON MEDICAL GROUP, PLLC - SLOCUM-DICKSON MEDICAL GROUP, PLLC RETIREMENT PLAN (2016) Form 5500
Creator: SLOCUM-DICKSON MEDICAL GROUP, PLLC
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, SLOCUM-DICKSON MEDICAL GROUP, PLLC RETIREMENT PLAN, SLOCUM-DICKSON MEDICAL GROUP, PLLC

SLOCUM-DICKSON MEDICAL GROUP, PLLCEIN 20-0362623Plan #002PY 2016

1729 BURRSTONE ROAD - NEW HARTFORD, NY 13413315-798-1500sdmg.comLinkedIn201-500 employeesmedical practice

Prospect flagsLow returns

Top hat statement on fileNQDC

Filed November 1, 2011

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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Total assets (EOY)

$60.4M

No prior year

Total participants

692

No prior year

Average account balance

$93,746

No prior year

Annual return

-2.15%

No prior year

Benchmarks

See 3,733 peers

Peer group

Industry62 - Health Care and Social Assistance

Plan typeDefined contribution

Participants250-999

Cohort3,733 peers

Snapshot2016

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

Analytics

Total assets (EOY)

Plan-year ending balance

$87.15M

Not enough data

1 years with asset history on file

Average account balance

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

$150K

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.

581

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.

91.5%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$3.97M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$10K

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

+6.61%

Not enough data

1 years with return on file

Admin fee / account holder

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

$567

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 7 by compensation

Provider	Service type	Compensation
NBT BANCORP NA1+ years Filed as: NBT BANK Service code 21 · EIN 15-0395735	Bank Trustee	$113,241
STRATEGIC ADVISORS, INC.1+ years Filed as: STRATEGIC INVESTMENT ADVISORS, INC. Service code 28 · EIN 16-1334685	Investment Management	$30,580
ASCENT WEALTH PARTNERS, LLC1+ years Service code 28 122 BUSINESS PARK DRIVE · UTICA, NY 13502	Investment Management	$27,340
CHARLES SCHWAB & CO., INC.1+ years Filed as: CHARLES SCHWAB TRUST COMPANY Service code 19 · EIN 42-1558009	Securities Custodian	$17,873
MORGAN STANLEY SMITH BARNEY1+ years Filed as: MORGAN STANLEY/SMITH BARNEY Service code 28 · EIN 26-4310632	Investment Management	$7,171
CHARLES SCHWAB & CO., INC.1+ years Service code 59 · EIN 94-1737782	Shareholder Servicing	$0
EPIC RETIREMENT PLAN SERVICES1+ years Filed as: EPIC ADVISORS, INC. Service code 15 · EIN 16-1450952	Recordkeeping	$0

Plan features & details

Pension benefit codes2A2E2G2J2R2T3D

Plan features

2A
Age/service weighted or new comparability plan
Age/service weighted plan where allocations are based on age service or age and service; or new comparability or similar plan where allocations are based on participant classifications consisting entirely or predominantly of highly compensated employees or the plan provides an additional allocation rate on compensation above a specified threshold that exceeds the permitted disparity limits of Code section 401(l).
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.
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.

Opportunity flags

1 tripped

OpportunityLow returns
Annual investment return is in the bottom quintile of the peer cohort.

Expense breakdown

Schedule H Part II

Admin total

$182K

$380 / participant

Investment mgmt$65K35.7%
Other / not subdivided$117K64.3%

% of EOY assets

0.302%

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: D'ARCANGELO & CO., LLP
Auditor EIN: 132550103
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$93,746

$36,916+153.9%

$156,551-40.1%

$57,658+62.6%

Participation rate

90.0%

63.4%+26.5pp

84.0%+6.0pp

70.2%+19.8pp

Annual return

-2.15%

12.38%-14.5pp

32.23%-34.4pp

5.13%-7.3pp

Employer contribution / active EE

$5,161

$1,571+228.6%

$5,501-6.2%

$1,974+161.5%

Participant deferral / active EE

$2,652

$1,926+37.7%

$4,871-45.6%

$3,061-13.3%

Admin fee / account holder

$283

$82+242.8%

$13,028-97.8%

$95+199.1%

Provider

Service type

Compensation

NBT BANCORP NA1+ years

Filed as: NBT BANK

Service code 21 · EIN 15-0395735

Bank Trustee

$113,241

STRATEGIC ADVISORS, INC.1+ years

Filed as: STRATEGIC INVESTMENT ADVISORS, INC.

Service code 28 · EIN 16-1334685

Investment Management

$30,580

ASCENT WEALTH PARTNERS, LLC1+ years

Service code 28

122 BUSINESS PARK DRIVE · UTICA, NY 13502

Investment Management

$27,340

CHARLES SCHWAB & CO., INC.1+ years

Filed as: CHARLES SCHWAB TRUST COMPANY

Service code 19 · EIN 42-1558009

Securities Custodian

$17,873

MORGAN STANLEY SMITH BARNEY1+ years

Filed as: MORGAN STANLEY/SMITH BARNEY

Service code 28 · EIN 26-4310632

Investment Management

$7,171

CHARLES SCHWAB & CO., INC.1+ years

Service code 59 · EIN 94-1737782

Shareholder Servicing

EPIC RETIREMENT PLAN SERVICES1+ years

Filed as: EPIC ADVISORS, INC.

Service code 15 · EIN 16-1450952

Recordkeeping

SLOCUM-DICKSON MEDICAL GROUP, PLLC RETIREMENT PLAN

Top hat statement on fileNQDC

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

SLOCUM-DICKSON MEDICAL GROUP, PLLC RETIREMENT 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