Retirement plan

TUDOR INVESTMENT CORPORATION 401(K) SAVINGS AND PROFIT SHARING PLAN

Name: TUDOR INVESTMENT CORPORATION - TUDOR INVESTMENT CORPORATION 401(K) SAVINGS AND PROFIT SHARING PLAN (2019) Form 5500
Creator: TUDOR INVESTMENT CORPORATION
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, TUDOR INVESTMENT CORPORATION 401(K) SAVINGS AND PROFIT SHARING PLAN, TUDOR INVESTMENT CORPORATION

TUDOR INVESTMENT CORPORATIONEIN 22-2514825Plan #001PY 2019

200 ELM STREET - STAMFORD, CT 06902203-863-6709LinkedIn11-50 employees

Prospect flagsHigh feesHigh assets / participantCorrective distributions

How to read this page

Total assets (EOY)

$126.4M

+23.0% from 2018

Total participants

477

-11.3% from 2018

Average account balance

$268,848

+22.4% from 2018

Annual return

23.51%

+29.14 pp from 2018

Benchmarks

See 2,202 peers

Peer group

Industry52 - Finance and Insurance

Plan typeDefined contribution

Participants100-249

Cohort2,202 peers

Snapshot2019

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

Analytics

Total assets (EOY)

Plan-year ending balance

$172.66M

Not enough data

1 years with asset history on file

Average account balance

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

$346K

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.

499

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.

98.0%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$7.97M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$27K

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

+15.79%

Not enough data

1 years with return on file

Admin fee / account holder

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

$267

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 4 by compensation

Provider	Service type	Compensation
TRANSAMERICA RETIREMENT SOLUTIONS5+ years Service code 12 · EIN 13-3689044	Sales loads (front end and deferred);...	$129,193
PROCYON INSTITUTIONAL PARTNERS LLC2 years Service code 16 · EIN 82-1646066	Consulting	$65,000
RSM US LLP4 years Service code 10 · EIN 42-0714325	Accounting	$43,005
NATIONAL FINANCIAL SERVICES5+ years Service code 33 · EIN 04-3523567	Securities brokerage commissions and ...	$0

Plan features & details

Pension benefit codes2F2G2J2K2T3H

Plan features

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.
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

OpportunityHigh fees
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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

$237K

$1054 / participant

Investment mgmt$65K27.4%
Other / not subdivided$172K72.6%

% of EOY assets

0.188%

all-in expense ratio

Categories reported

1 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Unqualified opinion

Auditor signed off without reservation - the cleanest possible opinion.

Auditor firm: RSM US LLP
Auditor EIN: 420714325
Audit fees: (not subdivided)
Opinion code: Unqualified

Metric

This plan

Peer set

Industry

Size

Avg account balance

$268,848

$98,982+171.6%

$162,171+65.8%

$65,185+312.4%

Participation rate

96.9%

85.8%+11.1pp

87.6%+9.3pp

70.2%+26.7pp

Annual return

23.51%

24.84%-1.3pp

115.60%-92.1pp

29.38%-5.9pp

Employer contribution / active EE

$6,797

$3,467+96.1%

$5,613+21.1%

$2,177+212.2%

Participant deferral / active EE

$14,493

$5,384+169.2%

$7,297+98.6%

$3,514+312.4%

Admin fee / account holder

$505

$596-15.4%

$10,843-95.3%

$847-40.4%

Provider

Service type

Compensation

TRANSAMERICA RETIREMENT SOLUTIONS5+ years

Service code 12 · EIN 13-3689044

Sales loads (front end and deferred);...

$129,193

PROCYON INSTITUTIONAL PARTNERS LLC2 years

Service code 16 · EIN 82-1646066

Consulting

$65,000

RSM US LLP4 years

Service code 10 · EIN 42-0714325

Accounting

$43,005

NATIONAL FINANCIAL SERVICES5+ years

Service code 33 · EIN 04-3523567

Securities brokerage commissions and ...

TUDOR INVESTMENT CORPORATION 401(K) SAVINGS AND PROFIT SHARING PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

TUDOR INVESTMENT CORPORATION 401(K) SAVINGS AND 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