Retirement plan

THOMAS R. BATES, CFP, LLC 401(K) PLAN

Name: THOMAS R. BATES, CFP, LLC - THOMAS R. BATES, CFP, LLC 401(K) PLAN (2025) Form 5500
Creator: THOMAS R. BATES, CFP, LLC
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, THOMAS R. BATES, CFP, LLC 401(K) PLAN, THOMAS R. BATES, CFP, LLC

THOMAS R. BATES, CFP, LLCEIN 26-2929793Plan #001PY 2025

4656 EXECUTIVE DRIVE, STE 100 - COLUMBUS, OH 43220614-571-4479bates-financial.comLinkedIn1-10 employeesfinancial services

Prospect flagsLow fidelity bond

How to read this page

Total assets (EOY)

$781K

+20.3% from 2024

Total participants

0.0% from 2024

Average account balance

$195,306

+20.3% from 2024

Annual return

14.70%

+1.17 pp from 2024

Benchmarks

See 12,996 peers

Peer group

Industry52 - Finance and Insurance

Plan typeDefined contribution

Participants<25

Cohort12,996 peers

Snapshot2025

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

Analytics

Total assets (EOY)

Plan-year ending balance

$781K

Not enough data

1 years with asset history on file

Average account balance

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

$195K

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.

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.

133.3%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$37K

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$12K

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

+14.70%

Not enough data

1 years with return on file

Admin fee / account holder

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

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

0 years with F_SCH_H allocation on file

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

Service providers

Providers data not reported

Schedule C was not filed on this plan's most recent Form 5500, so no compensated service providers are available to display.

Plan features & details

Pension benefit codes2E2G2J2R3D

Plan features

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.
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

ComplianceLow fidelity bond
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).

Audit opinion

Schedule H Part III

No opinion code on file for this filing.

Auditor firm: (not reported)
Auditor EIN: -
Audit fees: (not subdivided)
Opinion code: -

Metric

This plan

Peer set

Industry

Size

Avg account balance

$195,306

$227,291-14.1%

$214,702-9.0%

$155,188+25.9%

Participation rate

100.0%

88.0%+12.0pp

87.5%+12.5pp

80.8%+19.2pp

Annual return

14.70%

60.08%-45.4pp

54.55%-39.9pp

148.84%-134.1pp

Employer contribution / active EE

$1,920

$6,772-71.6%

$6,461-70.3%

$4,248-54.8%

Participant deferral / active EE

$10,296

$9,582+7.4%

$9,147+12.6%

$6,531+57.6%

Admin fee / account holder

$20,413-100.0%

$19,830-100.0%

$14,480-100.0%

THOMAS R. BATES, CFP, LLC 401(K) PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Audit opinioni

THOMAS R. BATES, CFP, LLC 401(K) PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Audit opinioni

Benchmarks

Service providers

Opportunity flags

Audit opinion

Benchmarks

Service providers

Opportunity flags

Audit opinion