Retirement plan

SYCR 401(K) PROFIT SHARING PLAN

Name: STRADLING YOCCA CARLSON & RAUTH, P.C. - SYCR 401(K) PROFIT SHARING PLAN (2017) Form 5500
Creator: STRADLING YOCCA CARLSON & RAUTH, P.C.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, SYCR 401(K) PROFIT SHARING PLAN, STRADLING YOCCA CARLSON & RAUTH, P.C.

STRADLING YOCCA CARLSON & RAUTH, P.C.EIN 95-3347002Plan #001PY 2017

660 NEWPORT CENTER DRIVE, STE 1600 - NEWPORT BEACH, CA 926606422949-725-4000stradlinglaw.comLinkedIn51-200 employeeslaw practice

Other plans on this EIN

2 filings

#003Retirement-$11.6M assets #004Retirement-$2.2M assets

Prospect flagsLow returnsHigh feesHigh assets / participant

How to read this page

Total assets (EOY)

$88.1M

+15.8% from 2016

Total participants

224

+8.2% from 2016

Average account balance

$440,499

+12.4% from 2016

Annual return

13.78%

+7.10 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

See peer percentile detail. $4.99 for your first month.

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Analytics

Total assets (EOY)

Plan-year ending balance

$111.51M

Not enough data

1 years with asset history on file

Average account balance

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

$590K

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.

189

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.

94.1%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$4.58M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$34K

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

+7.19%

Not enough data

1 years with return on file

Admin fee / account holder

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

$690

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

See the 10-year trajectory. $4.99 for your first month.

Solo adds 10-year history, peer benchmarks, provider and welfare analytics, saves, and exports. Then $34.99 a month.

Start for $4.99 See plans

Service providers

Top 10 by compensation

Provider	Service type	Compensation
FIRST FOUNDATION ADVISORS3+ years Service code 26 · EIN 32-0221828	Advisory (Participants)	$34,194
AMERICAN UNITED LIFE INSURANCE CO3+ years Filed as: ONEAMERICA RETIREMENT SERVICES LLC Service code 15 · EIN 46-5378846	Recordkeeping	$23,296
PACIFIC FINANCIAL GROUP, INC1 year Service code 26 977 108TH AVENUE · NE BELLEVUE, WA 98004	Advisory (Participants)	$14,108
CITIGROUP GLOBAL MARKETS INC1 year Filed as: CITI PRIVATE BANK Service code 26 650 TOWN CENTER DRIVE, SUITE 1550 · COSTA MESA, CA 92626	Advisory (Participants)	$11,984
WELLS FARGO BANK, N.A.2 years Filed as: WELLS FARGO ADVISORS LLC Service code 26 · EIN 72-1560834	Advisory (Participants)	$7,303
KNIGHTSBRIDGE ASSET MANAGEMENT LLC1 year Service code 26 660 NEWPORT CENTER DRIVE, SUITE 460 · NEWPORT BEACH, CA 92660	Advisory (Participants)	$7,090
TD AMERITRADE, INC.3+ years Filed as: TD AMERITRADE Service code 59 · EIN 82-0543156	Shareholder Servicing	$3,555
MATRIX TRUST COMPANY1 year Service code 18 · EIN 75-3182674	Soft dollars commissions; Custodial (...	$0
MATRIX TRUST COMPANY1 year Filed as: MSCS FINANCIAL SERVICES Service code 50	Direct Payment	$0
TD AMERITRADE, INC.3+ years Service code 59	Shareholder Servicing	$0

Plan features & details

Pension benefit codes2A2E2F2G2J2R2T3D

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.
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

3 tripped

OpportunityHigh fees
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
OpportunityLow returns
Annual investment return is in the bottom quintile of the peer cohort.
InformationalHigh assets / participant
Assets per participant exceed $250,000 - top-decile high-value plan.

Expense breakdown

Schedule H Part II

Admin total

$100K

$625 / participant

Investment mgmt$76K75.7%
Contract admin$23K23.3%
Other / not subdivided$9601.0%

% of EOY assets

0.114%

all-in expense ratio

Categories reported

2 / 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: VAVRINEK, TRINE, DAY & CO., LLP
Auditor EIN: 952648289
Audit fees: (not subdivided)
Opinion code: Disclaimer

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Metric

This plan

Peer set

Industry

Size

Avg account balance

$440,499

$80,753+445.5%

$136,294+223.2%

$62,292+607.1%

Participation rate

85.0%

73.5%+11.5pp

81.9%+3.1pp

69.5%+15.5pp

Annual return

13.78%

35.83%-22.1pp

5155.94%-5142.2pp

28.90%-15.1pp

Employer contribution / active EE

$17,171

$2,884+495.4%

$4,695+265.7%

$2,042+740.8%

Participant deferral / active EE

$9,001

$5,164+74.3%

$6,247+44.1%

$3,169+184.0%

Admin fee / account holder

$500

$525-4.8%

$9,243-94.6%

$479+4.3%

Provider

Service type

Compensation

FIRST FOUNDATION ADVISORS3+ years

Service code 26 · EIN 32-0221828

Advisory (Participants)

$34,194

AMERICAN UNITED LIFE INSURANCE CO3+ years

Filed as: ONEAMERICA RETIREMENT SERVICES LLC

Service code 15 · EIN 46-5378846

Recordkeeping

$23,296

PACIFIC FINANCIAL GROUP, INC1 year

Service code 26

977 108TH AVENUE · NE BELLEVUE, WA 98004

Advisory (Participants)

$14,108

CITIGROUP GLOBAL MARKETS INC1 year

Filed as: CITI PRIVATE BANK

Service code 26

650 TOWN CENTER DRIVE, SUITE 1550 · COSTA MESA, CA 92626

Advisory (Participants)

$11,984

WELLS FARGO BANK, N.A.2 years

Filed as: WELLS FARGO ADVISORS LLC

Service code 26 · EIN 72-1560834

Advisory (Participants)

$7,303

KNIGHTSBRIDGE ASSET MANAGEMENT LLC1 year

Service code 26

660 NEWPORT CENTER DRIVE, SUITE 460 · NEWPORT BEACH, CA 92660

Advisory (Participants)

$7,090

TD AMERITRADE, INC.3+ years

Filed as: TD AMERITRADE

Service code 59 · EIN 82-0543156

Shareholder Servicing

$3,555

MATRIX TRUST COMPANY1 year

Service code 18 · EIN 75-3182674

Soft dollars commissions; Custodial (...

MATRIX TRUST COMPANY1 year

Filed as: MSCS FINANCIAL SERVICES

Service code 50

Direct Payment

TD AMERITRADE, INC.3+ years

Service code 59

Shareholder Servicing

SYCR 401(K) PROFIT SHARING PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

SYCR 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