Retirement plan

CAUDALIE USA, INC. 401(K) PLAN

Name: CAUDALIE USA, INC. - CAUDALIE USA, INC. 401(K) PLAN (2021) Form 5500
Creator: CAUDALIE USA, INC.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, CAUDALIE USA, INC. 401(K) PLAN, CAUDALIE USA, INC.

CAUDALIE USA, INC.EIN 75-2968038Plan #001PY 2021

70 W. 36TH STREET, SUITE 13A - NEW YORK, NY 10018212-308-3550caudalie-usa.comLinkedIn51-200 employeesconsumer goods

Prospect flagsLow participationFailed to transmit contributions

How to read this page

Total assets (EOY)

$3M

+18.9% from 2020

Total participants

-22.5% from 2020

Average account balance

$42,908

+56.2% from 2020

Annual return

13.33%

-1.11 pp from 2020

Benchmarks

See 27,004 peers

Peer group

Industry54 - Professional, Scientific, and Technical Services

Plan typeDefined contribution

Participants25-99

Cohort27,004 peers

Snapshot2021

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

Analytics

Total assets (EOY)

Plan-year ending balance

$4.66M

Not enough data

1 years with asset history on file

Average account balance

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

$58K

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.

94.1%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$659K

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$8K

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

+19.58%

Not enough data

1 years with return on file

Admin fee / account holder

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

$2744

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

Top 3 by compensation

Provider	Service type	Compensation
IMA WEALTH INC3 years Filed as: TRUENORTH SECURITIES INC Service code 27 · EIN 48-1233289	Advisory (Plan)	$12,743
GREAT-WEST LIFE & ANNUITY INSURANCE1 year Filed as: GREAT-WEST LIFE & ANNUITY INS CO Service code 15 · EIN 84-0467907	Recordkeeping	$1,658
PENTEC PENSION MANAGEMENT GROUP INC3 years Filed as: PENTEC PENSION MGT GROUP INC Service code 15 · EIN 75-2776689	Recordkeeping	$1,314

Plan features & details

Pension benefit codes2F2E2G2J2K3D

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

OpportunityLow participation
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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

$2K

$32 / participant

Investment mgmt$2K100.0%

% of EOY assets

0.055%

all-in expense ratio

Categories reported

1 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Unqualified opinion

Auditor signed off without reservation - the cleanest possible opinion.

Auditor firm: PRICEKUBECKA, PLLC
Auditor EIN: 752783674
Audit fees: (not subdivided)
Opinion code: Unqualified

Metric

This plan

Peer set

Industry

Size

Avg account balance

$42,908

$105,200-59.2%

$159,474-73.1%

$85,847-50.0%

Participation rate

69.2%

75.8%-6.5pp

82.8%-13.6pp

69.3%-0.1pp

Annual return

13.33%

45.08%-31.8pp

263.68%-250.4pp

318.61%-305.3pp

Employer contribution / active EE

$2,651

$3,319-20.1%

$4,831-45.1%

$2,565+3.3%

Participant deferral / active EE

$5,771

$5,946-2.9%

$7,353-21.5%

$3,952+46.0%

Admin fee / account holder

$24

$6,934-99.7%

$10,802-99.8%

$6,261-99.6%

Provider

Service type

Compensation

IMA WEALTH INC3 years

Filed as: TRUENORTH SECURITIES INC

Service code 27 · EIN 48-1233289

Advisory (Plan)

$12,743

GREAT-WEST LIFE & ANNUITY INSURANCE1 year

Filed as: GREAT-WEST LIFE & ANNUITY INS CO

Service code 15 · EIN 84-0467907

Recordkeeping

$1,658

PENTEC PENSION MANAGEMENT GROUP INC3 years

Filed as: PENTEC PENSION MGT GROUP INC

Service code 15 · EIN 75-2776689

Recordkeeping

$1,314

CAUDALIE USA, INC. 401(K) PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

CAUDALIE USA, INC. 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