Retirement plan

AURUBIS BUFFALO, INC. 401(K) RETIREMENT PLAN

Name: AURUBIS BUFFALO, INC. - AURUBIS BUFFALO, INC. 401(K) RETIREMENT PLAN (2017) Form 5500
Creator: AURUBIS BUFFALO, INC.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, AURUBIS BUFFALO, INC. 401(K) RETIREMENT PLAN, AURUBIS BUFFALO, INC.

AURUBIS BUFFALO, INC.EIN 84-1148681Plan #005PY 2017

70 SAYRE STREET - BUFFALO, NY 14207716-879-6771

Other plans on this EIN

2 filings

#002Retirement-$43.4M assets #003Retirement-$41.3M assets

Prospect flagsNo flags tripped

Top hat statement on fileNQDC

Filed October 18, 2004

This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.

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Total assets (EOY)

$45M

+16.8% from 2016

Total participants

193

+1.0% from 2016

Average account balance

$233,204

+15.0% from 2016

Annual return

19.85%

+13.26 pp from 2016

Benchmarks

See 4,147 peers

Peer group

Industry33 - Manufacturing

Plan typeDefined contribution

Participants100-249

Cohort4,147 peers

Snapshot2017

See peer percentile detail. $4.99 for your first month.

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Analytics

Total assets (EOY)

Plan-year ending balance

$46.37M

Not enough data

1 years with asset history on file

Average account balance

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

$240K

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.

193

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.

98.5%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$2.23M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$17K

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

+14.92%

Not enough data

1 years with return on file

Admin fee / account holder

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

$147

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

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Service providers

Top 9 by compensation

Provider	Service type	Compensation
WESTMINSTER CONSULTING, LLC1 year Filed as: WESTMINSTER CONSULTING LLC Service code 16 · EIN 45-3679779	Consulting	$15,000
MASSACHUSETTS MUTUAL LIFE INS. CO.3+ years Service code 52 · EIN 04-1590850	Indirect Investment Fees	$9,687
AMERICAN FUNDS1 year Service code 52 · EIN 95-1411037	Indirect Investment Fees	$0
BAIRD FUNDS1 year Service code 52 · EIN 39-6037917	Indirect Investment Fees	$0
MORGAN STANLEY SMITH BARNEY1 year Filed as: JP MORGAN Service code 52 · EIN 26-3613641	Indirect Investment Fees	$0
MFS INVESTMENT MANAGEMENT1 year Service code 52 · EIN 04-3287965	Indirect Investment Fees	$0
OPPENHEIMER1 year Service code 52 · EIN 93-6305075	Indirect Investment Fees	$0
THE VANGUARD GROUP, INC.1 year Filed as: VANGUARD Service code 52 · EIN 23-3035288	Indirect Investment Fees	$0
WELLS FARGO BANK, N.A.1 year Filed as: WELLS FARGO Service code 52 · EIN 41-0449260	Indirect Investment Fees	$0

Plan features & details

Pension benefit codes2E2J2F2G2K3H2S2T

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.
2S
Automatic enrollment
Plan provides for automatic enrollment in plan that has elective contributions deducted from payroll.
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.
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

0 tripped

No flags tripped for this filing year. This plan looks clean.

Expense breakdown

Schedule H Part II

Admin total

$10K

$65 / participant

Investment mgmt$4K41.8%
Contract admin$6K58.2%

% of EOY assets

0.022%

all-in expense ratio

Categories reported

2 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Disclaimer opinion

The auditor declined to give an opinion. This is usually a 103(a)(3)(C) limited-scope election.

Auditor firm: SZYMKOWIAK & ASSOC
Auditor EIN: 161600045
Audit fees: (not subdivided)
Opinion code: Disclaimer

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Metric

This plan

Peer set

Industry

Size

Avg account balance

$233,204

$64,909+259.3%

$82,313+183.3%

$62,292+274.4%

Participation rate

100.0%

74.9%+25.1pp

76.9%+23.1pp

69.5%+30.5pp

Annual return

19.85%

21.18%-1.3pp

25.88%-6.0pp

28.90%-9.1pp

Employer contribution / active EE

$4,732

$1,676+182.4%

$2,428+94.9%

$2,042+131.7%

Participant deferral / active EE

$7,970

$3,103+156.8%

$3,706+115.1%

$3,169+151.5%

Admin fee / account holder

$50

$440-88.6%

$5,608-99.1%

$479-89.5%

Provider

Service type

Compensation

WESTMINSTER CONSULTING, LLC1 year

Filed as: WESTMINSTER CONSULTING LLC

Service code 16 · EIN 45-3679779

Consulting

$15,000

MASSACHUSETTS MUTUAL LIFE INS. CO.3+ years

Service code 52 · EIN 04-1590850

Indirect Investment Fees

$9,687

AMERICAN FUNDS1 year

Service code 52 · EIN 95-1411037

Indirect Investment Fees

BAIRD FUNDS1 year

Service code 52 · EIN 39-6037917

Indirect Investment Fees

MORGAN STANLEY SMITH BARNEY1 year

Filed as: JP MORGAN

Service code 52 · EIN 26-3613641

Indirect Investment Fees

MFS INVESTMENT MANAGEMENT1 year

Service code 52 · EIN 04-3287965

Indirect Investment Fees

OPPENHEIMER1 year

Service code 52 · EIN 93-6305075

Indirect Investment Fees

THE VANGUARD GROUP, INC.1 year

Filed as: VANGUARD

Service code 52 · EIN 23-3035288

Indirect Investment Fees

WELLS FARGO BANK, N.A.1 year

Filed as: WELLS FARGO

Service code 52 · EIN 41-0449260

Indirect Investment Fees

AURUBIS BUFFALO, INC. 401(K) RETIREMENT PLAN

Top hat statement on fileNQDC

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

AURUBIS BUFFALO, INC. 401(K) RETIREMENT PLAN

Top hat statement on fileNQDC

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