Retirement plan

KELLER ROHRBACK LLP 401(K) PROFIT SHARING PLAN

Name: KELLER ROHRBACK LLP - KELLER ROHRBACK LLP 401(K) PROFIT SHARING PLAN (2017) Form 5500
Creator: KELLER ROHRBACK LLP
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, KELLER ROHRBACK LLP 401(K) PROFIT SHARING PLAN, KELLER ROHRBACK LLP

KELLER ROHRBACK LLPEIN 91-0563405Plan #001PY 2017

1201 3RD AVE, STE 3200 - SEATTLE, WA 981013276206-623-1900krcomplexlit.comLinkedIn51-200 employeeslaw practice

Prospect flagsHigh feesHigh assets / participant

How to read this page

Total assets (EOY)

$59.1M

+22.5% from 2016

Total participants

181

+1.7% from 2016

Average account balance

$339,667

+23.2% from 2016

Annual return

17.52%

+4.86 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

$86.52M

Not enough data

1 years with asset history on file

Average account balance

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

$424K

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.

204

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.

91.7%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$5.00M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$30K

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

+18.77%

Not enough data

1 years with return on file

Admin fee / account holder

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

$467

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 6 by compensation

Provider	Service type	Compensation
CONCERT WEALTH MANAGEMENT3+ years Filed as: CONCERT WEATLTH MANAGEMENT Service code 19 1201 THIRD AVE, STE 5040 · SEATTLE, WA 98101	Securities Custodian	$41,488
MORGAN STANLEY SMITH BARNEY3+ years Filed as: MORGAN STANLEY WEALTH MANAGEMENT Service code 19 601 UNION ST, STE 2900 · SEATTLE, WA 98101	Securities Custodian	$21,654
WELLS FARGO BANK, N.A.3+ years Filed as: WELLS FARGO ADVISORS Service code 19 · EIN 23-2384840	Securities Custodian	$20,866
HALBERT HARGROVE GLOBAL ADVISORS3+ years Filed as: HALBERT HARGROVE GLOBAL ADVISORS LL Service code 19 · EIN 33-0804608	Securities Custodian	$14,193
CHARLES SCHWAB & CO., INC.3+ years Filed as: CHARLES SCHWAB BANK Service code 26 · EIN 42-1558009	Advisory (Participants)	$13,052
NORTHWEST PLAN SERVICES, INC.3+ years Service code 15 · EIN 91-2090931	Recordkeeping	$11,880

Plan features & details

Pension benefit codes2A2E2F2G2J2R2T3B3D

Plan features

2A
Age/service weighted or new comparability plan
Age/service weighted plan where allocations are based on age service or age and service; or new comparability or similar plan where allocations are based on participant classifications consisting entirely or predominantly of highly compensated employees or the plan provides an additional allocation rate on compensation above a specified threshold that exceeds the permitted disparity limits of Code section 401(l).
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

2 tripped

OpportunityHigh fees
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
InformationalHigh assets / participant
Assets per participant exceed $250,000 - top-decile high-value plan.

Expense breakdown

Schedule H Part II

Admin total

$126K

$925 / participant

Investment mgmt$100K79.6%
Contract admin$12K9.4%
Other / not subdivided$14K10.9%

% of EOY assets

0.213%

all-in expense ratio

Categories reported

2 / 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: SMITH BUNDAY BERMAN BRITTON, PS
Auditor EIN: 911275259
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$339,667

$80,753+320.6%

$136,298+149.2%

$62,293+445.3%

Participation rate

94.9%

73.5%+21.3pp

81.9%+12.9pp

69.5%+25.3pp

Annual return

17.52%

35.83%-18.3pp

5156.27%-5138.7pp

28.90%-11.4pp

Employer contribution / active EE

$13,235

$2,884+359.0%

$4,696+181.9%

$2,042+548.1%

Participant deferral / active EE

$10,333

$5,164+100.1%

$6,247+65.4%

$3,169+226.1%

Admin fee / account holder

$723

$525+37.7%

$9,244-92.2%

$479+50.9%

Provider

Service type

Compensation

CONCERT WEALTH MANAGEMENT3+ years

Filed as: CONCERT WEATLTH MANAGEMENT

Service code 19

1201 THIRD AVE, STE 5040 · SEATTLE, WA 98101

Securities Custodian

$41,488

MORGAN STANLEY SMITH BARNEY3+ years

Filed as: MORGAN STANLEY WEALTH MANAGEMENT

Service code 19

601 UNION ST, STE 2900 · SEATTLE, WA 98101

Securities Custodian

$21,654

WELLS FARGO BANK, N.A.3+ years

Filed as: WELLS FARGO ADVISORS

Service code 19 · EIN 23-2384840

Securities Custodian

$20,866

HALBERT HARGROVE GLOBAL ADVISORS3+ years

Filed as: HALBERT HARGROVE GLOBAL ADVISORS LL

Service code 19 · EIN 33-0804608

Securities Custodian

$14,193

CHARLES SCHWAB & CO., INC.3+ years

Filed as: CHARLES SCHWAB BANK

Service code 26 · EIN 42-1558009

Advisory (Participants)

$13,052

NORTHWEST PLAN SERVICES, INC.3+ years

Service code 15 · EIN 91-2090931

Recordkeeping

$11,880

KELLER ROHRBACK LLP 401(K) PROFIT SHARING PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

KELLER ROHRBACK LLP 401(K) PROFIT SHARING 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