Retirement plan

ROCKBRIDGE CAPITAL LLC 401K PLAN

Name: ROCKBRIDGE CAPITAL, LLC - ROCKBRIDGE CAPITAL LLC 401K PLAN (2018) Form 5500
Creator: ROCKBRIDGE CAPITAL, LLC
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, ROCKBRIDGE CAPITAL LLC 401K PLAN, ROCKBRIDGE CAPITAL, LLC

ROCKBRIDGE CAPITAL, LLCEIN 61-1418802Plan #001PY 2018

4100 REGENT ST SUITE G - COLUMBUS, OH 432196160614-246-2400

Prospect flagsHigh feesFailed to transmit contributions

How to read this page

Total assets (EOY)

$13.8M

-13.2% from 2017

Total participants

124

-2.4% from 2017

Average account balance

$122,209

-13.2% from 2017

Annual return

-5.38%

-27.05 pp from 2017

Benchmarks

See 7,475 peers

Peer group

Industry52 - Finance and Insurance

Plan typeDefined contribution

Participants25-99

Cohort7,475 peers

Snapshot2018

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

Analytics

Total assets (EOY)

Plan-year ending balance

$35.85M

Not enough data

1 years with asset history on file

Average account balance

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

$237K

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.

151

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.

91.2%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$2.96M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$26K

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

+16.17%

Not enough data

1 years with return on file

Admin fee / account holder

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

$984

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
JOHN HANCOCK LIFE INSURANCE COMPANY1 year Filed as: JOHN HANCOCK LIFE INS COMPANY Service code 15 · EIN 01-0233346 PO BOX 600 · BUFFALO, NY 142010600	Recordkeeping	$320
THE SIEKMANN COMPANY1 year Service code 15 · EIN 31-0995736 9000 MEMORIAL DRIVE · PLAIN CITY, OH 43064	Recordkeeping	$225

Plan features & details

Pension benefit codes2E2F2G2J2K3D

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.
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

2 tripped

OpportunityHigh fees
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
ComplianceFailed to transmit contributions
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).

Expense breakdown

Schedule H Part II

Admin total

$40K

$416 / participant

Investment mgmt$3K6.6%
Contract admin$37K92.8%
Other / not subdivided$2250.6%

% of EOY assets

0.292%

all-in expense ratio

Categories reported

2 / 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: GBQ PARTNERS
Auditor EIN: 202122306
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$122,209

$94,529+29.3%

$140,019-12.7%

$64,173+90.4%

Participation rate

88.7%

84.1%+4.6pp

87.5%+1.2pp

69.6%+19.1pp

Annual return

-5.38%

7.77%-13.1pp

651.15%-656.5pp

7.63%-13.0pp

Employer contribution / active EE

$6,667

$3,812+74.9%

$5,605+18.9%

$2,381+180.0%

Participant deferral / active EE

$10,518

$5,250+100.3%

$6,927+51.9%

$3,470+203.2%

Admin fee / account holder

$357

$6,741-94.7%

$10,705-96.7%

$4,887-92.7%

Provider

Service type

Compensation

JOHN HANCOCK LIFE INSURANCE COMPANY1 year

Filed as: JOHN HANCOCK LIFE INS COMPANY

Service code 15 · EIN 01-0233346

PO BOX 600 · BUFFALO, NY 142010600

Recordkeeping

$320

THE SIEKMANN COMPANY1 year

Service code 15 · EIN 31-0995736

9000 MEMORIAL DRIVE · PLAIN CITY, OH 43064

Recordkeeping

$225

ROCKBRIDGE CAPITAL LLC 401K PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

ROCKBRIDGE CAPITAL LLC 401K 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