Retirement plan

THE DOCTORS MANAGEMENT COMPANY 401(K) SAVINGS PLAN

Name: THE DOCTORS MANAGEMENT COMPANY - THE DOCTORS MANAGEMENT COMPANY 401(K) SAVINGS PLAN (2016) Form 5500
Creator: THE DOCTORS MANAGEMENT COMPANY
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, THE DOCTORS MANAGEMENT COMPANY 401(K) SAVINGS PLAN, THE DOCTORS MANAGEMENT COMPANY

THE DOCTORS MANAGEMENT COMPANYEIN 95-2958888Plan #002PY 2016

185 GREENWOOD ROAD - NAPA, CA 945580900707-226-0238LinkedIn11-50 employees

Prospect flagsHigh fees

Top hat statement on fileNQDC

Filed April 24, 2014 (most recent of 3 filings on file)

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)

$169M

+7.7% from 2015

Total participants

887

0.0% from 2015

Average account balance

$190,531

+6.9% from 2015

Annual return

8.93%

+8.06 pp from 2015

Benchmarks

See 1,433 peers

Peer group

Industry52 - Finance and Insurance

Plan typeDefined contribution

Participants250-999

Cohort1,433 peers

Snapshot2016

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Analytics

Total assets (EOY)

Plan-year ending balance

$313.29M

Not enough data

1 years with asset history on file

Average account balance

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

$285K

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.

1,100

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.

97.4%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$17.05M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$20K

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

+15.69%

Not enough data

1 years with return on file

Admin fee / account holder

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

$-78

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
TRANSAMERICA RETIREMENT SOLUTIONS2+ years Service code 12 · EIN 13-3689044	Recordkeeping fees; Distribution (12b...	$261,651
WELLS FARGO BANK, N.A.2+ years Filed as: WELLS FARGO ADVISORS, LLC Service code 16 428 MCLAWS CIRCLE · WILLIAMSBURG, VA 23185	Consulting	$140,000
ALPHA OMEGA WEALTH MANAGEMENT, LLC1 year Filed as: ALPHA OMEGA WEALTH MANAGEMENT Service code 16 · EIN 26-4404477	Consulting	$8,479
CHARLES SCHWAB & CO., INC.1 year Filed as: CHARLES SCHWAB AND CO, INC Service code 33 · EIN 94-1737782	Securities brokerage commissions and ...	$911
CHARLES SCHWAB & CO., INC.2+ years Service code 33	Securities brokerage; Securities brok...	$0
NATIONAL FINANCIAL SERVICES2+ years Service code 33 · EIN 04-3523567	Securities brokerage; Securities brok...	$0

Plan features & details

Pension benefit codes2F2G2J2K2R2T3D3H

Plan features

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.
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.
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

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

$402K

$645 / participant

Investment mgmt$140K34.9%
Other / not subdivided$262K65.1%

% of EOY assets

0.238%

all-in expense ratio

Categories reported

1 / 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: ERNST & YOUNG
Auditor EIN: 346565596
Audit fees: (not subdivided)
Opinion code: Disclaimer

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Metric

This plan

Peer set

Industry

Size

Avg account balance

$190,531

$71,802+165.4%

$133,980+42.2%

$57,658+230.4%

Participation rate

100.0%

85.5%+14.5pp

87.1%+12.9pp

70.2%+29.8pp

Annual return

8.93%

13.51%-4.6pp

29.30%-20.4pp

5.13%+3.8pp

Employer contribution / active EE

$6,473

$3,161+104.8%

$5,211+24.2%

$1,974+228.0%

Participant deferral / active EE

$9,994

$4,606+117.0%

$6,282+59.1%

$3,061+226.6%

Admin fee / account holder

$453

$88+416.5%

$9,324-95.1%

$95+379.0%

Provider

Service type

Compensation

TRANSAMERICA RETIREMENT SOLUTIONS2+ years

Service code 12 · EIN 13-3689044

Recordkeeping fees; Distribution (12b...

$261,651

WELLS FARGO BANK, N.A.2+ years

Filed as: WELLS FARGO ADVISORS, LLC

Service code 16

428 MCLAWS CIRCLE · WILLIAMSBURG, VA 23185

Consulting

$140,000

ALPHA OMEGA WEALTH MANAGEMENT, LLC1 year

Filed as: ALPHA OMEGA WEALTH MANAGEMENT

Service code 16 · EIN 26-4404477

Consulting

$8,479

CHARLES SCHWAB & CO., INC.1 year

Filed as: CHARLES SCHWAB AND CO, INC

Service code 33 · EIN 94-1737782

Securities brokerage commissions and ...

$911

CHARLES SCHWAB & CO., INC.2+ years

Service code 33

Securities brokerage; Securities brok...

NATIONAL FINANCIAL SERVICES2+ years

Service code 33 · EIN 04-3523567

Securities brokerage; Securities brok...

THE DOCTORS MANAGEMENT COMPANY 401(K) SAVINGS PLAN

Top hat statement on fileNQDC

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

THE DOCTORS MANAGEMENT COMPANY 401(K) SAVINGS 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