Retirement plan

ROSENBERG & ASSOCIATES, LLC 401(K) P/S PLAN

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

ROSENBERG & ASSOCIATES, LLCEIN 75-3030602Plan #001PY 2017

4340 E WEST HWY STE 600 - BETHESDA, MD 20814301-907-8000rosenberg-assoc.comLinkedIn51-200 employeeslegal services

Prospect flagsLow participation

How to read this page

Total assets (EOY)

$3.1M

+31.4% from 2016

Total participants

131

-1.5% from 2016

Average account balance

$36,112

+37.5% from 2016

Annual return

21.98%

+4.68 pp from 2016

Benchmarks

See 5,160 peers

Peer group

Industry54 - Professional, Scientific, and Technical Services

Plan typeDefined contribution

Participants100-249

Cohort5,160 peers

Snapshot2017

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

Analytics

Total assets (EOY)

Plan-year ending balance

$6.04M

Not enough data

1 years with asset history on file

Average account balance

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

$123K

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.

102.1%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$268K

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$6K

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

+16.84%

Not enough data

1 years with return on file

Admin fee / account holder

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

$5547

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
PAI2+ years Service code 13 1300 ENTERPRISE DRIVE · DE PERE, WI 54115	Contract Administrator	$12,848
WELLS FARGO BANK, N.A.1 year Filed as: WELLS FARGO ADVISORS FINAN NETWORK Service code 27 7600 WISCONSIN AVE STE 900 · BETHESDA, MD 20814	Advisory (Plan)	$4,735
WELLS FARGO BANK, N.A.1 year Filed as: WELLS FARGO FINAN NETWORK Service code 63	12b-1 Fees	$1,635

Plan features & details

Pension benefit codes2G3D2F2E2J2K3H

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.
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

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

Expense breakdown

Schedule H Part II

Admin total

$11K

$109 / participant

Investment mgmt$11K100.0%

% of EOY assets

0.370%

all-in expense ratio

Categories reported

1 / 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: BETHKE CPA, LLC
Auditor EIN: 421591506
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$36,112

$80,753-55.3%

$136,298-73.5%

$62,293-42.0%

Participation rate

57.1%

73.5%-16.4pp

81.9%-24.8pp

69.5%-12.4pp

Annual return

21.98%

35.83%-13.9pp

5156.27%-5134.3pp

28.90%-6.9pp

Employer contribution / active EE

$1,379

$2,884-52.2%

$4,696-70.6%

$2,042-32.5%

Participant deferral / active EE

$2,410

$5,164-53.3%

$6,247-61.4%

$3,169-24.0%

Admin fee / account holder

$133

$525-74.6%

$9,244-98.6%

$479-72.2%

Provider

Service type

Compensation

PAI2+ years

Service code 13

1300 ENTERPRISE DRIVE · DE PERE, WI 54115

Contract Administrator

$12,848

WELLS FARGO BANK, N.A.1 year

Filed as: WELLS FARGO ADVISORS FINAN NETWORK

Service code 27

7600 WISCONSIN AVE STE 900 · BETHESDA, MD 20814

Advisory (Plan)

$4,735

WELLS FARGO BANK, N.A.1 year

Filed as: WELLS FARGO FINAN NETWORK

Service code 63

12b-1 Fees

$1,635

ROSENBERG & ASSOCIATES, LLC 401(K) P/S PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

ROSENBERG & ASSOCIATES, LLC 401(K) P/S 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