Retirement plan

KAPLAN FINANCIAL PROFIT SHARING 401K PLAN

Name: ROBERT KAPLAN FINANCIAL MANAGEMENT & INSURANCE SERVICES, INC. - KAPLAN FINANCIAL PROFIT SHARING 401K PLAN (2017) Form 5500
Creator: ROBERT KAPLAN FINANCIAL MANAGEMENT & INSURANCE SERVICES, INC.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, KAPLAN FINANCIAL PROFIT SHARING 401K PLAN, ROBERT KAPLAN FINANCIAL MANAGEMENT & INSURANCE SERVICES, INC.

ROBERT KAPLAN FINANCIAL MANAGEMENT & INSURANCE SERVICES, INC.EIN 95-4835839Plan #001PY 2017

16030 VENTURA BOULEVARD, SUITE 600 - ENCINO, CA 91436818-783-6620kaplanfinancial.netLinkedIn1-10 employeesfinancial services

Prospect flagsHigh assets / participantLow fidelity bond

How to read this page

Total assets (EOY)

$2.1M

+28.2% from 2016

Total participants

+25.0% from 2016

Average account balance

$413,041

+2.6% from 2016

Annual return

21.70%

+4.84 pp from 2016

Benchmarks

See 30,802 peers

Peer group

Industry52 - Finance and Insurance

Plan typeDefined contribution

Participants<25

Cohort30,802 peers

Snapshot2017

Free accounts unlock saves, downloads, and 3-year history.

Analytics

Total assets (EOY)

Plan-year ending balance

$6.46M

Not enough data

1 years with asset history on file

Average account balance

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

$1.1M

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.

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.

150.0%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$167K

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$42K

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

+20.31%

Not enough data

1 years with return on file

Admin fee / account holder

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

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

0 years with F_SCH_H allocation on file

Free accounts unlock saves, downloads, and 3-year history.

Service providers

Providers data not reported

Schedule C was not filed on this plan's most recent Form 5500, so no compensated service providers are available to display.

Plan features & details

Pension benefit codes2E2J3D

Plan features

2E
Profit-sharing
Profit-sharing plan.
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.
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

ComplianceLow fidelity bond
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
InformationalHigh assets / participant
Assets per participant exceed $250,000 - top-decile high-value plan.

Expense breakdown

Schedule H Part II

Admin total

$149

$30 / participant

Other / not subdivided$149100.0%

% of EOY assets

0.007%

all-in expense ratio

Categories reported

0 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

No opinion code on file for this filing.

Auditor firm: (not reported)
Auditor EIN: -
Audit fees: (not subdivided)
Opinion code: -

Metric

This plan

Peer set

Industry

Size

Avg account balance

$413,041

$171,867+140.3%

$149,721+175.9%

$147,586+179.9%

Participation rate

100.0%

88.2%+11.8pp

87.1%+12.9pp

82.8%+17.2pp

Annual return

21.70%

2113.36%-2091.7pp

1501.67%-1480.0pp

578.59%-556.9pp

Employer contribution / active EE

$11,113

$6,275+77.1%

$5,444+104.1%

$4,876+127.9%

Participant deferral / active EE

$9,936

$7,270+36.7%

$6,568+51.3%

$5,439+82.7%

Admin fee / account holder

$30

$13,799-99.8%

$11,282-99.7%

$10,886-99.7%

KAPLAN FINANCIAL PROFIT SHARING 401K PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

KAPLAN FINANCIAL PROFIT SHARING 401K 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