Retirement plan

ROYCE & ASSOCIATES GP, LLC 401(K) PROFIT SHARING PLAN

Name: ROYCE & ASSOCIATES GP, LLC - ROYCE & ASSOCIATES GP, LLC 401(K) PROFIT SHARING PLAN (2017) Form 5500
Creator: ROYCE & ASSOCIATES GP, LLC
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, ROYCE & ASSOCIATES GP, LLC 401(K) PROFIT SHARING PLAN, ROYCE & ASSOCIATES GP, LLC

ROYCE & ASSOCIATES GP, LLCEIN 36-4833044Plan #002PY 2017

745 FIFTH AVENUE, SUITE 2400 - NEW YORK, NY 10151212-508-4500roycedisaster.comLinkedIn51-200 employees

Prospect flagsHigh assets / participant

How to read this page

Total assets (EOY)

$92.5M

No prior year

Total participants

144

No prior year

Average account balance

$656,208

No prior year

Annual return

15.85%

No prior year

Benchmarks

See 2,201 peers

Peer group

Industry52 - Finance and Insurance

Plan typeDefined contribution

Participants100-249

Cohort2,201 peers

Snapshot2017

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

Analytics

Total assets (EOY)

Plan-year ending balance

$109.19M

Not enough data

1 years with asset history on file

Average account balance

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

$827K

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.

132

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.

95.7%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$2.78M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$30K

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

+10.54%

Not enough data

1 years with return on file

Admin fee / account holder

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

$28

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 2 by compensation

Provider	Service type	Compensation
CHARLES SCHWAB & CO., INC.1+ years Service code 33 · EIN 94-1737782	Float revenue; Securities brokerage c...	$1,680
CHARLES SCHWAB & CO., INC.1+ years Filed as: CHARLES SCHWAB & CO. INC. AND AFFIL Service code 59	Shareholder Servicing	$0

Plan features & details

Pension benefit codes2E2G2J2R2T3D3H

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.
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

1 tripped

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

Expense breakdown

Schedule H Part II

Admin total

$75

$1 / participant

Other / not subdivided$75100.0%

% of EOY assets

0.000%

all-in expense ratio

Categories reported

0 / 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: LILLING & COMPANY LLP
Auditor EIN: 133447681
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$656,208

$89,739+631.2%

$149,721+338.3%

$62,293+953.4%

Participation rate

97.1%

85.1%+12.0pp

87.1%+10.0pp

69.5%+27.5pp

Annual return

15.85%

21.01%-5.2pp

1501.67%-1485.8pp

28.90%-13.0pp

Employer contribution / active EE

$17,309

$3,233+435.4%

$5,444+217.9%

$2,042+747.6%

Participant deferral / active EE

$12,891

$4,797+168.7%

$6,568+96.3%

$3,169+306.8%

Admin fee / account holder

$551-99.9%

$11,282-100.0%

$479-99.9%

Provider

Service type

Compensation

CHARLES SCHWAB & CO., INC.1+ years

Service code 33 · EIN 94-1737782

Float revenue; Securities brokerage c...

$1,680

CHARLES SCHWAB & CO., INC.1+ years

Filed as: CHARLES SCHWAB & CO. INC. AND AFFIL

Service code 59

Shareholder Servicing

ROYCE & ASSOCIATES GP, LLC 401(K) PROFIT SHARING PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

ROYCE & ASSOCIATES GP, LLC 401(K) 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