Retirement plan

HALL & EVANS, LLC EMPLOYEE SAVINGS PLAN

Name: HALL & EVANS, LLC - HALL & EVANS, LLC EMPLOYEE SAVINGS PLAN (2015) Form 5500
Creator: HALL & EVANS, LLC
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, HALL & EVANS, LLC EMPLOYEE SAVINGS PLAN, HALL & EVANS, LLC

HALL & EVANS, LLCEIN 84-1225924Plan #003PY 2015

1001 SEVENTEENTH STREET SUITE 300 - DENVER, CO 80202303-628-3300hallevans.comLinkedIn201-500 employeeslaw practice

Prospect flagsHigh fees

How to read this page

Total assets (EOY)

$30.9M

No prior year

Total participants

185

No prior year

Average account balance

$167,954

No prior year

Annual return

-0.73%

No prior year

Benchmarks

See 4,662 peers

Peer group

Industry54 - Professional, Scientific, and Technical Services

Plan typeDefined contribution

Participants100-249

Cohort4,662 peers

Snapshot2015

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

Analytics

Total assets (EOY)

Plan-year ending balance

$45.31M

Not enough data

1 years with asset history on file

Average account balance

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

$156K

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.

291

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.

100.0%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$3.04M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$14K

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

+13.30%

Not enough data

1 years with return on file

Admin fee / account holder

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

$252

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 7 by compensation

Provider	Service type	Compensation
CHERRY HILLS INVESTMENT1+ years Service code 33 · EIN 84-1533925	Securities brokerage	$29,368
SCHAEFER FINANCIAL MANAGEMENT1+ years Service code 33 · EIN 84-1593457	Securities brokerage	$11,135
CHERRY HILLS INVESTMENT ADVISO1+ years Filed as: CHERRY HILLS INVESTMENT ADVISOR Service code 33 · EIN 32-0441470	Securities brokerage	$10,409
CHERRY CREEK INVESTMENT ADV1+ years Filed as: CHERRY CREEK INVESTMENT ADVISORS Service code 33 · EIN 84-1279374	Securities brokerage	$8,849
JPMORGAN INVEST HOLDINGS LLC1+ years Service code 64 · EIN 13-2624428	Recordkeeping Fees	$4,581
CHARLES SCHWAB & CO., INC.1+ years Filed as: CHARLES SCHWAB & COMPANY Service code 33 · EIN 94-1737782	Securities brokerage	$1,890
CHARLES SCHWAB & CO., INC.1+ years Service code 33	Securities brokerage	$0

Plan features & details

Pension benefit codes2E2F2G2J2R2T3B3D

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.
2R
Participant-directed brokerage accounts
Participant-directed brokerage accounts provided as an investment option under the plan.
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.
3B
Plan covering self-employed individuals
Plan covering self-employed individuals.
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

1 tripped

OpportunityHigh fees
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)

Expense breakdown

Schedule H Part II

Admin total

$68K

$447 / participant

Contract admin$68K100.0%

% of EOY assets

0.220%

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: EKS&H LLLP
Auditor EIN: 840869721
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$167,954

$70,002+139.9%

$115,038+46.0%

$52,331+220.9%

Participation rate

99.3%

72.1%+27.2pp

81.4%+18.0pp

68.1%+31.2pp

Annual return

-0.73%

4.04%-4.8pp

26.14%-26.9pp

4.54%-5.3pp

Employer contribution / active EE

$5,184

$2,715+90.9%

$4,608+12.5%

$1,882+175.5%

Participant deferral / active EE

$7,954

$4,920+61.7%

$6,026+32.0%

$3,022+163.2%

Admin fee / account holder

$369

$566-34.8%

$8,175-95.5%

$592-37.6%

Provider

Service type

Compensation

CHERRY HILLS INVESTMENT1+ years

Service code 33 · EIN 84-1533925

Securities brokerage

$29,368

SCHAEFER FINANCIAL MANAGEMENT1+ years

Service code 33 · EIN 84-1593457

Securities brokerage

$11,135

CHERRY HILLS INVESTMENT ADVISO1+ years

Filed as: CHERRY HILLS INVESTMENT ADVISOR

Service code 33 · EIN 32-0441470

Securities brokerage

$10,409

CHERRY CREEK INVESTMENT ADV1+ years

Filed as: CHERRY CREEK INVESTMENT ADVISORS

Service code 33 · EIN 84-1279374

Securities brokerage

$8,849

JPMORGAN INVEST HOLDINGS LLC1+ years

Service code 64 · EIN 13-2624428

Recordkeeping Fees

$4,581

CHARLES SCHWAB & CO., INC.1+ years

Filed as: CHARLES SCHWAB & COMPANY

Service code 33 · EIN 94-1737782

Securities brokerage

$1,890

CHARLES SCHWAB & CO., INC.1+ years

Service code 33

Securities brokerage

HALL & EVANS, LLC EMPLOYEE SAVINGS PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

HALL & EVANS, LLC EMPLOYEE SAVINGS 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