Retirement plan

BROOKFIELD 401(K) SAVINGS PLAN

Name: BROOKFIELD ASSET MANAGEMENT - BROOKFIELD 401(K) SAVINGS PLAN (2017) Form 5500
Creator: BROOKFIELD ASSET MANAGEMENT
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, BROOKFIELD 401(K) SAVINGS PLAN, BROOKFIELD ASSET MANAGEMENT

BROOKFIELD ASSET MANAGEMENTEIN 20-4473811Plan #002PY 2017

3 WORLD FINANCIAL CENTER - NEW YORK, NY 10281212-417-7000

Prospect flagsCorrective distributions

How to read this page

Total assets (EOY)

$202.3M

-6.6% from 2016

Total participants

1,894

+15.6% from 2016

Average account balance

$134,718

-14.0% from 2016

Annual return

20.18%

-10.56 pp from 2016

Benchmarks

See 114 peers

Peer group

Industry53 - Real Estate and Rental and Leasing

Plan typeDefined contribution

Participants1,000-4,999

Cohort114 peers

Snapshot2017

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

Analytics

Total assets (EOY)

Plan-year ending balance

$1.23B

Not enough data

1 years with asset history on file

Average account balance

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

$151K

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.

8,124

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.

96.1%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$93.76M

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

+14.89%

Not enough data

1 years with return on file

Admin fee / account holder

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

$118

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 5 by compensation

Provider	Service type	Compensation
NEPC, LLC2 years Filed as: NEPC LLC Service code 10 · EIN 26-1429809	Accounting	$83,451
GOODWIN PROCTER LLP1 year Service code 29 · EIN 04-1378465	Legal	$59,136
LT TRUST COMPANY1 year Filed as: MG TRUST COMPANY Service code 10 · EIN 75-3182674	Accounting	$51,530
BAKER TILLY US, LLP3+ years Filed as: BAKER TILLY VIRCHOW KRAUSE LLP Service code 21 · EIN 39-0859910	Bank Trustee	$37,000
GREAT-WEST LIFE & ANNUITY INSURANCE1 year Filed as: GREAT WEST LIFE & ANNUITY Service code 15 · EIN 84-0467907	Recordkeeping	$9,439

Plan features & details

Pension benefit codes2F2G2J2R2T3F2E

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.
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.
3F
Leased employees
Plan sponsor(s) received services of leased employees as defined in Code section 414(n) during the plan year.

Opportunity flags

1 tripped

ComplianceCorrective distributions
Plan reported corrective distributions (failed ADP/ACP testing).

Expense breakdown

Schedule H Part II

Admin total

$241K

$178 / participant

Investment mgmt$135K56.1%
Other / not subdivided$106K43.9%

% of EOY assets

0.119%

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 VIRCHOW KRAUSE LLP
Auditor EIN: 391908691
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$134,718

$43,233+211.6%

$185,117-27.2%

$77,958+72.8%

Participation rate

71.0%

64.2%+6.8pp

77.3%-6.2pp

71.6%-0.6pp

Annual return

20.18%

20.43%-0.2pp

40.50%-20.3pp

20.87%-0.7pp

Employer contribution / active EE

$5,083

$1,312+287.5%

$4,182+21.6%

$2,310+120.0%

Participant deferral / active EE

$7,343

$2,912+152.1%

$5,045+45.6%

$3,537+107.6%

Admin fee / account holder

$160

$95+68.3%

$8,159-98.0%

$97+64.5%

Provider

Service type

Compensation

NEPC, LLC2 years

Filed as: NEPC LLC

Service code 10 · EIN 26-1429809

Accounting

$83,451

GOODWIN PROCTER LLP1 year

Service code 29 · EIN 04-1378465

Legal

$59,136

LT TRUST COMPANY1 year

Filed as: MG TRUST COMPANY

Service code 10 · EIN 75-3182674

Accounting

$51,530

BAKER TILLY US, LLP3+ years

Filed as: BAKER TILLY VIRCHOW KRAUSE LLP

Service code 21 · EIN 39-0859910

Bank Trustee

$37,000

GREAT-WEST LIFE & ANNUITY INSURANCE1 year

Filed as: GREAT WEST LIFE & ANNUITY

Service code 15 · EIN 84-0467907

Recordkeeping

$9,439

BROOKFIELD 401(K) SAVINGS PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

BROOKFIELD 401(K) SAVINGS 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