Retirement plan

KATTEN MUCHIN ROSENMAN LLP DEFINED CONTRIBUTION PLAN

Name: KATTEN MUCHIN ROSENMAN LLP - KATTEN MUCHIN ROSENMAN LLP DEFINED CONTRIBUTION PLAN (2019) Form 5500
Creator: KATTEN MUCHIN ROSENMAN LLP
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, KATTEN MUCHIN ROSENMAN LLP DEFINED CONTRIBUTION PLAN, KATTEN MUCHIN ROSENMAN LLP

KATTEN MUCHIN ROSENMAN LLPEIN 36-2796532Plan #007PY 2019

525 W. MONROE STREET, SUITE 1900 - CHICAGO, IL 606613693312-902-5200katten.comLinkedIn1001-5000 employeeslaw practice

Other plans on this EIN

2 filings

#014Retirement-$88.8M assets #010Retirement-$69.2M assets

Prospect flagsHigh assets / participant

Top hat statement on fileNQDC

Filed August 11, 2023

Plan administrator

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525 W. Monroe St.

Chicago, IL 60661

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Plans declared (1)

Katten Muchin Rosenman LLP Second Amended and Restated Retirement/Death Benefit Plan0 emp

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Total assets (EOY)

$520.8M

-7.1% from 2016

Total participants

1,937

-0.5% from 2016

Average account balance

$273,667

-6.2% from 2016

Annual return

21.85%

-7.58 pp from 2016

Benchmarks

See 733 peers

Peer group

Industry54 - Professional, Scientific, and Technical Services

Plan typeDefined contribution

Participants1,000-4,999

Cohort733 peers

Snapshot2019

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

Analytics

Total assets (EOY)

Plan-year ending balance

$793.33M

Not enough data

1 years with asset history on file

Average account balance

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

$405K

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.

1,957

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.

96.9%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$38.11M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$34K

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

+16.78%

Not enough data

1 years with return on file

Admin fee / account holder

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

$163

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 10 by compensation

Provider	Service type	Compensation
CHARLES SCHWAB & CO., INC.5+ years Filed as: SCHWAB RETIREMENT PLAN SERVICES,INC Service code 15 · EIN 34-1479833	Recordkeeping	$178,072
CAPFINANCIAL PARTNERS LLC1 year Service code 28 · EIN 26-0058143	Investment Management	$60,000
GRANT THORNTON LLP5+ years Service code 10 · EIN 36-6055558	Accounting	$25,930
FIDUCIARY INVESTMENT ADVISORS5+ years Filed as: FIDUCIARY VEST, LLC Service code 28 · EIN 20-2217636	Investment Management	$20,469
SONTAG ADVISORY LLC1 year Service code 26 · EIN 13-3831584	Advisory (Participants)	$12,847
SIGNATURE ESTATE & INVESTMENT5+ years Filed as: SIGNATURE ESTATE AND INVESTMENT Service code 26 · EIN 95-4806910	Advisory (Participants)	$12,783
PARSEC FINANCIAL MANAGEMENT4 years Service code 26 · EIN 56-1443390	Advisory (Participants)	$8,031
HCR WEALTH ADVISORS3 years Service code 26 · EIN 95-4181883	Advisory (Participants)	$7,147
CHARLES SCHWAB & CO., INC.5+ years Service code 59	Shareholder Servicing	$0
CHARLES SCHWAB & CO., INC.5+ years Filed as: CHARLES SCHWAB AND CO., INC. Service code 28 · EIN 94-1737782	Investment Management	$0

Plan features & details

Pension benefit codes2E2F2G2J2R3B3H

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.
3B
Plan covering self-employed individuals
Plan covering self-employed individuals.
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

InformationalHigh assets / participant
Assets per participant exceed $250,000 - top-decile high-value plan.

Expense breakdown

Schedule H Part II

Admin total

$284K

$229 / participant

Investment mgmt$80K28.3%
Other / not subdivided$204K71.7%

% of EOY assets

0.055%

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: GRANT THORNTON LLP
Auditor EIN: 366055558
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$273,667

$101,523+169.6%

$141,200+93.8%

$77,775+251.9%

Participation rate

97.3%

77.4%+19.9pp

82.5%+14.8pp

73.2%+24.0pp

Annual return

21.85%

56.22%-34.4pp

71.41%-49.6pp

32.58%-10.7pp

Employer contribution / active EE

$10,829

$3,341+224.1%

$4,736+128.6%

$2,504+332.5%

Participant deferral / active EE

$13,190

$6,434+105.0%

$6,710+96.6%

$3,966+232.6%

Admin fee / account holder

$149

$92+63.3%

$10,265-98.5%

$100+49.4%

Provider

Service type

Compensation

CHARLES SCHWAB & CO., INC.5+ years

Filed as: SCHWAB RETIREMENT PLAN SERVICES,INC

Service code 15 · EIN 34-1479833

Recordkeeping

$178,072

CAPFINANCIAL PARTNERS LLC1 year

Service code 28 · EIN 26-0058143

Investment Management

$60,000

GRANT THORNTON LLP5+ years

Service code 10 · EIN 36-6055558

Accounting

$25,930

FIDUCIARY INVESTMENT ADVISORS5+ years

Filed as: FIDUCIARY VEST, LLC

Service code 28 · EIN 20-2217636

Investment Management

$20,469

SONTAG ADVISORY LLC1 year

Service code 26 · EIN 13-3831584

Advisory (Participants)

$12,847

SIGNATURE ESTATE & INVESTMENT5+ years

Filed as: SIGNATURE ESTATE AND INVESTMENT

Service code 26 · EIN 95-4806910

Advisory (Participants)

$12,783

PARSEC FINANCIAL MANAGEMENT4 years

Service code 26 · EIN 56-1443390

Advisory (Participants)

$8,031

HCR WEALTH ADVISORS3 years

Service code 26 · EIN 95-4181883

Advisory (Participants)

$7,147

CHARLES SCHWAB & CO., INC.5+ years

Service code 59

Shareholder Servicing

CHARLES SCHWAB & CO., INC.5+ years

Filed as: CHARLES SCHWAB AND CO., INC.

Service code 28 · EIN 94-1737782

Investment Management

KATTEN MUCHIN ROSENMAN LLP DEFINED CONTRIBUTION PLAN

Top hat statement on fileNQDC

Plan administrator

Plans declared (1)

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

KATTEN MUCHIN ROSENMAN LLP DEFINED CONTRIBUTION PLAN

Top hat statement on fileNQDC

Plan administrator

Plans declared (1)

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