Retirement plan

ALK 401(K) PLAN

ALKEIN 36-3285439Plan #001PY 2017

1700 ROYSTON LANE - ROUND ROCK, TX 78664512-251-0037alk-abello.usLinkedIn1-10 employees

Prospect flagsFailed to transmit contributionsCorrective distributions

How to read this page

Total assets (EOY)

$33.4M

+31.7% from 2016

Total participants

536

+23.2% from 2016

Average account balance

$62,489

+5.8% from 2016

Annual return

20.13%

+11.03 pp from 2016

Benchmarks

See 684 peers

Peer group

Industry31 - Manufacturing

Plan typeDefined contribution

Participants250-999

Cohort684 peers

Snapshot2017

See peer percentile detail. $4.99 for your first month.

Solo adds 10-year history, peer benchmarks, provider and welfare analytics, saves, and exports. Then $34.99 a month.

Start for $4.99 See plans

Analytics

Total assets (EOY)

Plan-year ending balance

$90.49M

Not enough data

1 years with asset history on file

Average account balance

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

$127K

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.

711

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.

99.8%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$7.63M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$15K

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

+17.00%

Not enough data

1 years with return on file

Admin fee / account holder

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

$243

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

See the 10-year trajectory. $4.99 for your first month.

Solo adds 10-year history, peer benchmarks, provider and welfare analytics, saves, and exports. Then $34.99 a month.

Start for $4.99 See plans

Service providers

Top 10 of 15 by compensation

Provider	Service type	Compensation
MASSACHUSETTS MUTUAL LIFE INS. CO.3+ years Service code 52 · EIN 04-1590850	Indirect Investment Fees	$41,803
MY GROUP LLC1 year Service code 27 · EIN 27-2102627	Advisory (Plan)	$23,259
CAPFINANCIAL PARTNERS LLC1 year Service code 16 · EIN 26-0058143	Consulting	$19,296
AMERICAN FUNDS1 year Service code 52 · EIN 95-1411037	Indirect Investment Fees	$0
BLACKROCK1 year Service code 52 · EIN 51-0318674	Indirect Investment Fees	$0
FIDELITY INVESTMENTS INSTITUTIONAL1 year Filed as: FIDELITY ADVISOR Service code 52 · EIN 04-6444002	Indirect Investment Fees	$0
FIDELITY INVESTMENTS INSTITUTIONAL1 year Filed as: FIDELITY INVESTMENTS Service code 52 · EIN 04-6026952	Indirect Investment Fees	$0
FRANKLIN TEMPLETON1 year Filed as: FRANKLINTEMPLETON Service code 52 · EIN 59-6865210	Indirect Investment Fees	$0
INVESCO1 year Service code 52 · EIN 13-2576643	Indirect Investment Fees	$0
MORGAN STANLEY SMITH BARNEY1 year Filed as: JP MORGAN Service code 52 · EIN 26-3613641	Indirect Investment Fees	$0

Plan features & details

Pension benefit codes2E2J2F2G2K3D3H2S2T

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.
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.
2S
Automatic enrollment
Plan provides for automatic enrollment in plan that has elective contributions deducted from payroll.
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.
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

2 tripped

ComplianceFailed to transmit contributions
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
ComplianceCorrective distributions
Plan reported corrective distributions (failed ADP/ACP testing).

Expense breakdown

Schedule H Part II

Admin total

$42K

$92 / participant

Investment mgmt$34K81.7%
Contract admin$8K18.3%

% of EOY assets

0.125%

all-in expense ratio

Categories reported

2 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Disclaimer opinion

The auditor declined to give an opinion. This is usually a 103(a)(3)(C) limited-scope election.

Auditor firm: BAUER AND COMPANY
Auditor EIN: 471743368
Audit fees: (not subdivided)
Opinion code: Disclaimer

Look up a plan sponsor by EIN. Free Form 5500 search. No signup.

Metric

This plan

Peer set

Industry

Size

Avg account balance

$62,489

$53,925+15.9%

$75,670-17.4%

$69,631-10.3%

Participation rate

99.6%

71.2%+28.4pp

72.3%+27.2pp

70.7%+28.9pp

Annual return

20.13%

17.84%+2.3pp

27.34%-7.2pp

27571.02%-27550.9pp

Employer contribution / active EE

$4,400

$1,802+144.1%

$2,352+87.1%

$2,032+116.5%

Participant deferral / active EE

$4,595

$2,569+78.8%

$3,142+46.2%

$3,224+42.5%

Admin fee / account holder

$78

$97-19.4%

$5,800-98.7%

$110-29.1%

Provider

Service type

Compensation

MASSACHUSETTS MUTUAL LIFE INS. CO.3+ years

Service code 52 · EIN 04-1590850

Indirect Investment Fees

$41,803

MY GROUP LLC1 year

Service code 27 · EIN 27-2102627

Advisory (Plan)

$23,259

CAPFINANCIAL PARTNERS LLC1 year

Service code 16 · EIN 26-0058143

Consulting

$19,296

AMERICAN FUNDS1 year

Service code 52 · EIN 95-1411037

Indirect Investment Fees

BLACKROCK1 year

Service code 52 · EIN 51-0318674

Indirect Investment Fees

FIDELITY INVESTMENTS INSTITUTIONAL1 year

Filed as: FIDELITY ADVISOR

Service code 52 · EIN 04-6444002

Indirect Investment Fees

FIDELITY INVESTMENTS INSTITUTIONAL1 year

Filed as: FIDELITY INVESTMENTS

Service code 52 · EIN 04-6026952

Indirect Investment Fees

FRANKLIN TEMPLETON1 year

Filed as: FRANKLINTEMPLETON

Service code 52 · EIN 59-6865210

Indirect Investment Fees

INVESCO1 year

Service code 52 · EIN 13-2576643

Indirect Investment Fees

MORGAN STANLEY SMITH BARNEY1 year

Filed as: JP MORGAN

Service code 52 · EIN 26-3613641

Indirect Investment Fees

ALK 401(K) PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

ALK 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