Retirement plan

LIV/SIERRA/SUMMIT SOTHEBY'S INTERNATIONAL REALTY 401(K) PLAN

Name: SYCAMORE BROKERAGE LLC DBA LIV SOTHEBY'S INTERNATIONAL REALTY - LIV/SIERRA/SUMMIT SOTHEBY'S INTERNATIONAL REALTY 401(K) PLAN (2020) Form 5500
Creator: SYCAMORE BROKERAGE LLC DBA LIV SOTHEBY'S INTERNATIONAL REALTY
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, LIV/SIERRA/SUMMIT SOTHEBY'S INTERNATIONAL REALTY 401(K) PLAN, SYCAMORE BROKERAGE LLC DBA LIV SOTHEBY'S INTERNATIONAL REALTY

SYCAMORE BROKERAGE LLC DBA LIV SOTHEBY'S INTERNATIONAL REALTYEIN 84-1484614Plan #001PY 2020

100 SAINT PAUL STREET, STE. 200 - DENVER, CO 80206303-893-3200LinkedIn51-200 employeesreal estate

Prospect flagsHigh feesFailed to transmit contributions

Top hat statement on fileNQDC

Filed June 14, 2006

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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How to read this page

Total assets (EOY)

$4.8M

+25.5% from 2019

Total participants

209

+6.1% from 2019

Average account balance

$23,507

+17.5% from 2019

Annual return

14.19%

-16.44 pp from 2019

Benchmarks

See 1,006 peers

Peer group

Industry53 - Real Estate and Rental and Leasing

Plan typeDefined contribution

Participants100-249

Cohort1,006 peers

Snapshot2020

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Analytics

Total assets (EOY)

Plan-year ending balance

$12.82M

Not enough data

1 years with asset history on file

Average account balance

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

$38K

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.

338

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.

99.1%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$2.37M

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

+16.45%

Not enough data

1 years with return on file

Admin fee / account holder

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

$332

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 4 by compensation

Provider	Service type	Compensation
GREAT-WEST LIFE & ANNUITY INSURANCE5 years Service code 64 · EIN 84-0467907 8515 E ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111	Recordkeeping Fees	$19,772
RESOURCES INVESTMENT ADVISORS LLC4 years Filed as: RESOURCES INVESTEMENT ADVISORS Service code 27 4860 COLLEGE BLVD STE 100 · LEAWOOD, KS 66211	Advisory (Plan)	$19,493
RETIREMENT PLANNING SERVICES, INC.4 years Filed as: RETIREMENT PLANNING SERVICES Service code 13 PO BOX 3789 · LITTLETON, CO 80161	Contract Administrator	$5,098
RESOURCES INVESTMENT ADVISORS LLC1 year Filed as: RESOURCES INVESTMENT ADVISORS, LLC Service code 28 4860 COLLEGE BLVD. STE. 100 · OVERLAND PARK, KS 66211	Investment Management	$2,960

Plan features & details

Pension benefit codes2E2F2G2J2T3D3H

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.
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.
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

2 tripped

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

$63K

$381 / participant

Contract admin$61K97.3%
Other / not subdivided$2K2.7%

% of EOY assets

1.319%

all-in expense ratio

Categories reported

1 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Unqualified opinion

The auditor signed off without reservation. This is the cleanest opinion.

Auditor firm: MAYER HOFFMAN MCCANN P.C.
Auditor EIN: 431947695
Audit fees: (not subdivided)
Opinion code: Unqualified

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Metric

This plan

Peer set

Industry

Size

Avg account balance

$23,507

$62,132-62.2%

$185,823-87.3%

$73,488-68.0%

Participation rate

96.4%

67.8%+28.5pp

78.0%+18.3pp

70.7%+25.7pp

Annual return

14.19%

20.44%-6.2pp

35.95%-21.8pp

28.51%-14.3pp

Employer contribution / active EE

$537

$1,681-68.0%

$4,087-86.9%

$2,270-76.3%

Participant deferral / active EE

$4,632

$3,711+24.8%

$5,632-17.7%

$3,740+23.9%

Admin fee / account holder

$310

$419-26.0%

$9,500-96.7%

$513-39.6%

Provider

Service type

Compensation

GREAT-WEST LIFE & ANNUITY INSURANCE5 years

Service code 64 · EIN 84-0467907

8515 E ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111

Recordkeeping Fees

$19,772

RESOURCES INVESTMENT ADVISORS LLC4 years

Filed as: RESOURCES INVESTEMENT ADVISORS

Service code 27

4860 COLLEGE BLVD STE 100 · LEAWOOD, KS 66211

Advisory (Plan)

$19,493

RETIREMENT PLANNING SERVICES, INC.4 years

Filed as: RETIREMENT PLANNING SERVICES

Service code 13

PO BOX 3789 · LITTLETON, CO 80161

Contract Administrator

$5,098

RESOURCES INVESTMENT ADVISORS LLC1 year

Filed as: RESOURCES INVESTMENT ADVISORS, LLC

Service code 28

4860 COLLEGE BLVD. STE. 100 · OVERLAND PARK, KS 66211

Investment Management

$2,960

LIV/SIERRA/SUMMIT SOTHEBY'S INTERNATIONAL REALTY 401(K) PLAN

Top hat statement on fileNQDC

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

LIV/SIERRA/SUMMIT SOTHEBY'S INTERNATIONAL REALTY 401(K) 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