Retirement plan

SACRAMENTO ENT MEDICAL GROUP, INC. 401(K) PROFIT SHARING PLAN

Name: SACRAMENTO ENT MEDICAL GROUP, INC. - SACRAMENTO ENT MEDICAL GROUP, INC. 401(K) PROFIT SHARING PLAN (2016) Form 5500
Creator: SACRAMENTO ENT MEDICAL GROUP, INC.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, SACRAMENTO ENT MEDICAL GROUP, INC. 401(K) PROFIT SHARING PLAN, SACRAMENTO ENT MEDICAL GROUP, INC.

SACRAMENTO ENT MEDICAL GROUP, INC.EIN 94-1693523Plan #004PY 2016

1111 EXPOSITION BLVD., BLDG. 700, SUITE 100 - SACRAMENTO, CA 95815916-736-6670LinkedIn1-10 employeesmedical practice

Prospect flagsNo flags tripped

How to read this page

Total assets (EOY)

$15.5M

+8.6% from 2015

Total participants

153

+8.5% from 2015

Average account balance

$101,359

+0.1% from 2015

Annual return

6.21%

+7.15 pp from 2015

Benchmarks

See 5,140 peers

Peer group

Industry62 - Health Care and Social Assistance

Plan typeDefined contribution

Participants100-249

Cohort5,140 peers

Snapshot2016

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Analytics

Total assets (EOY)

Plan-year ending balance

$35.08M

Not enough data

1 years with asset history on file

Average account balance

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

$175K

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.

201

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

$2.07M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$16K

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

+9.42%

Not enough data

1 years with return on file

Admin fee / account holder

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

$651

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 6 by compensation

Provider	Service type	Compensation
ROYAL ALLIANCE ASSOCIATES INC1 year Filed as: ROYAL ALLIANCE ASSOCIATES INC. Service code 27 ONE WORLD FINANCIAL CENTER · NEW YORK, NY 10281	Advisory (Plan)	$13,086
POLYCOMP ADMINISTRATIVE SERVICES1 year Service code 13 · EIN 95-2889854 3000 LAVA RIDGE COURT, SUITE 130 · ROSEVILLE, CA 95661	Contract Administrator	$2,625
SACRAMENTO ENT SURGICAL AND MEDICAL1 year Service code 99 · EIN 94-1693523 1111 EXPOSITION BLVD, SUITE 700 · SACRAMENTO, CA 95815	Other Fees	$1,800
AMERICAN FUNDS1 year Filed as: CAPITAL RESEARCH AND MANAGEMENT CO. Service code 64 333 SOUTH HOPE STREET · LOS ANGELES, CA 90071	Recordkeeping Fees	$525
MERRILL LYNCH PIERCE FENNER & SMITH1 year Filed as: MERRILL LYNCH, PIERCE, FENNER AND S Service code 55 · EIN 13-5674085 4 WORLD FINANCIAL CENTER · NEW YORK, NY 10281	Other Commissions	$222
ROYAL ALLIANCE ASSOCIATES INC1 year Filed as: ROYAL ALLIANCE ASSOCIATES, INC. Service code 55 GENOVESE BURFORD AND BROTHERS · SACRAMENTO, CA 95815	Other Commissions	$0

Plan features & details

Pension benefit codes2A2E2G2J2K2R2T3D

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.
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.
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.
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

0 tripped

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

Expense breakdown

Schedule H Part II

Admin total

$36K

$345 / participant

Investment mgmt$32K89.0%
Contract admin$4K10.8%
Other / not subdivided$750.2%

% of EOY assets

0.229%

all-in expense ratio

Categories reported

2 / 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: WILLIAMS AND OLDS CPAS
Auditor EIN: 010560759
Audit fees: (not subdivided)
Opinion code: Unqualified

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Metric

This plan

Peer set

Industry

Size

Avg account balance

$101,359

$46,732+116.9%

$156,549-35.3%

$55,167+83.7%

Participation rate

100.0%

65.8%+34.2pp

84.0%+16.0pp

69.0%+31.0pp

Annual return

6.21%

17.72%-11.5pp

32.23%-26.0pp

169.23%-163.0pp

Employer contribution / active EE

$8,431

$2,105+300.5%

$5,501+53.3%

$1,963+329.6%

Participant deferral / active EE

$3,958

$2,204+79.6%

$4,871-18.7%

$3,054+29.6%

Admin fee / account holder

$232

$418-44.5%

$13,027-98.2%

$504-53.9%

Provider

Service type

Compensation

ROYAL ALLIANCE ASSOCIATES INC1 year

Filed as: ROYAL ALLIANCE ASSOCIATES INC.

Service code 27

ONE WORLD FINANCIAL CENTER · NEW YORK, NY 10281

Advisory (Plan)

$13,086

POLYCOMP ADMINISTRATIVE SERVICES1 year

Service code 13 · EIN 95-2889854

3000 LAVA RIDGE COURT, SUITE 130 · ROSEVILLE, CA 95661

Contract Administrator

$2,625

SACRAMENTO ENT SURGICAL AND MEDICAL1 year

Service code 99 · EIN 94-1693523

1111 EXPOSITION BLVD, SUITE 700 · SACRAMENTO, CA 95815

Other Fees

$1,800

AMERICAN FUNDS1 year

Filed as: CAPITAL RESEARCH AND MANAGEMENT CO.

Service code 64

333 SOUTH HOPE STREET · LOS ANGELES, CA 90071

Recordkeeping Fees

$525

MERRILL LYNCH PIERCE FENNER & SMITH1 year

Filed as: MERRILL LYNCH, PIERCE, FENNER AND S

Service code 55 · EIN 13-5674085

4 WORLD FINANCIAL CENTER · NEW YORK, NY 10281

Other Commissions

$222

ROYAL ALLIANCE ASSOCIATES INC1 year

Filed as: ROYAL ALLIANCE ASSOCIATES, INC.

Service code 55

GENOVESE BURFORD AND BROTHERS · SACRAMENTO, CA 95815

Other Commissions

SACRAMENTO ENT MEDICAL GROUP, INC. 401(K) PROFIT SHARING PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

SACRAMENTO ENT MEDICAL GROUP, INC. 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