Retirement plan

YORK CAPITAL MANAGEMENT 401(K) PLAN

Name: YORK CAPITAL MANAGEMENT (US) ADVISORS, L.P. - YORK CAPITAL MANAGEMENT 401(K) PLAN (2016) Form 5500
Creator: YORK CAPITAL MANAGEMENT (US) ADVISORS, L.P.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, YORK CAPITAL MANAGEMENT 401(K) PLAN, YORK CAPITAL MANAGEMENT (US) ADVISORS, L.P.

YORK CAPITAL MANAGEMENT (US) ADVISORS, L.P.EIN 26-3971819Plan #001PY 2016

767 FIFTH AVE., 17TH FLOOR - NEW YORK, NY 10153212-300-1307yorkcapital.comLinkedIn51-200 employeesinvestment management

Other plans on this EIN

1 filing

#002Retirement-$16.8M assets

Prospect flagsHigh fees

How to read this page

Total assets (EOY)

$33.9M

+26.0% from 2015

Total participants

229

-0.9% from 2015

Average account balance

$148,027

+26.0% from 2015

Annual return

10.67%

+11.87 pp from 2015

Benchmarks

See 2,214 peers

Peer group

Industry52 - Finance and Insurance

Plan typeDefined contribution

Participants100-249

Cohort2,214 peers

Snapshot2016

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

Analytics

Total assets (EOY)

Plan-year ending balance

$45.68M

Not enough data

1 years with asset history on file

Average account balance

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

$439K

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.

104

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.

100.0%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$2.14M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$51K

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

+12.24%

Not enough data

1 years with return on file

Admin fee / account holder

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

$603

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 1 by compensation

Provider	Service type	Compensation
JOHN HANCOCK LIFE INSURANCE COMPANY2+ years Service code 15 · EIN 13-3646501 P.O. BOX 600 · BUFFALO, NY 142010600	Recordkeeping	$376

Plan features & details

Pension benefit codes2E2J2F2G2R3D3H

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.
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

1 tripped

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

Expense breakdown

Schedule H Part II

Admin total

$92K

$606 / participant

Contract admin$92K100.0%

% of EOY assets

0.272%

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: BDO USA, LLP
Auditor EIN: 135381590
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$148,027

$74,089+99.8%

$133,975+10.5%

$55,167+168.3%

Participation rate

100.0%

84.3%+15.7pp

87.1%+12.9pp

69.0%+31.0pp

Annual return

10.67%

12.11%-1.4pp

29.29%-18.6pp

169.23%-158.6pp

Employer contribution / active EE

$19,814

$3,064+546.8%

$5,211+280.2%

$1,963+909.6%

Participant deferral / active EE

$15,949

$4,678+240.9%

$6,282+153.9%

$3,054+422.2%

Admin fee / account holder

$403

$458-12.1%

$9,324-95.7%

$504-20.1%

Provider

Service type

Compensation

JOHN HANCOCK LIFE INSURANCE COMPANY2+ years

Service code 15 · EIN 13-3646501

P.O. BOX 600 · BUFFALO, NY 142010600

Recordkeeping

$376

YORK CAPITAL MANAGEMENT 401(K) PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

YORK CAPITAL MANAGEMENT 401(K) 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