Retirement plan

ROGER J. OTA, D.D.S., 401(K) PROFIT SHARING PLAN

Name: ROGER J. OTA, D.D.S. - ROGER J. OTA, D.D.S., 401(K) PROFIT SHARING PLAN (2017) Form 5500
Creator: ROGER J. OTA, D.D.S.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, ROGER J. OTA, D.D.S., 401(K) PROFIT SHARING PLAN, ROGER J. OTA, D.D.S.

ROGER J. OTA, D.D.S.EIN 68-0110218Plan #001PY 2017

2020 HEARST AVENUE - BERKELEY, CA 94709510-841-0662LinkedIn1-10 employeesmedical practice

Prospect flagsLow returnsHigh feesHigh assets / participant

How to read this page

Total assets (EOY)

$2.3M

-34.9% from 2016

Total participants

-40.0% from 2016

Average account balance

$754,223

+8.5% from 2016

Annual return

0.26%

-0.45 pp from 2016

Benchmarks

See 106,903 peers

Peer group

Industry62 - Health Care and Social Assistance

Plan typeDefined contribution

Participants<25

Cohort106,903 peers

Snapshot2017

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

Analytics

Total assets (EOY)

Plan-year ending balance

$1.18M

Not enough data

1 years with asset history on file

Average account balance

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

$295K

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.

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.

66.7%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$60K

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$10K

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

-9.17%

Not enough data

1 years with return on file

Admin fee / account holder

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

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

0 years with F_SCH_H allocation on file

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

Service providers

Providers data not reported

Schedule C was not filed on this plan's most recent Form 5500, so no compensated service providers are available to display.

Plan features & details

Pension benefit codes2E2J3D

Plan features

2E
Profit-sharing
Profit-sharing plan.
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.
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

3 tripped

OpportunityHigh fees
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
OpportunityLow returns
Annual investment return is in the bottom quintile of the peer cohort.
InformationalHigh assets / participant
Assets per participant exceed $250,000 - top-decile high-value plan.

Expense breakdown

Schedule H Part II

Admin total

$1.3M

$429317 / participant

Other / not subdivided$1M100.0%

% of EOY assets

56.922%

all-in expense ratio

Categories reported

0 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

No opinion code on file for this filing.

Auditor firm: (not reported)
Auditor EIN: -
Audit fees: (not subdivided)
Opinion code: -

Metric

This plan

Peer set

Industry

Size

Avg account balance

$754,223

$198,457+280.0%

$170,435+342.5%

$147,586+411.0%

Participation rate

100.0%

88.0%+12.0pp

83.6%+16.4pp

82.8%+17.2pp

Annual return

0.26%

257.30%-257.0pp

205.94%-205.7pp

578.59%-578.3pp

Employer contribution / active EE

$13,879

$6,183+124.5%

$5,432+155.5%

$4,876+184.6%

Participant deferral / active EE

$8,000

$5,629+42.1%

$4,939+62.0%

$5,439+47.1%

Admin fee / account holder

$429,317

$16,852+2447.5%

$13,881+2992.9%

$10,886+3843.8%

ROGER J. OTA, D.D.S., 401(K) PROFIT SHARING PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

ROGER J. OTA, D.D.S., 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