No brokers reported on this filing.
| Provider | Services | Address | Compensation |
|---|---|---|---|
| FOCUSED INVESTORS EIN 27-0138622 N/A | Investment management fees paid directly by plan Service code 51 | — | $197K |
| INTERNATIONAL VALUE ADVISORS EIN 41-2253838 N/A | Investment management fees paid directly by plan Service code 51 | — | $177K |
| STATE STREET AND TRUST COMPANY EIN 04-1867445 N/A | Trustee (directed) Service code 25 | — | $163K |
| SILCHESTER INTERNATIONAL INVESTORS EIN 36-7045783 N/A | Investment management fees paid directly by plan Service code 51 | — | $160K |
| ADVISORY RESEARCH EIN 36-2831881 N/A | Investment management fees paid directly by plan Service code 51 | — | $103K |
| WELLINGTON TRUST COMPANY, NA EIN 61-1556893 N/A | Investment management fees paid directly by plan Service code 51 | — | $89K |
| SAILING STONE EIN 46-4114066 N/A | Investment management fees paid directly by plan Service code 51 | — | $85K |
| INCOME RESEARCH & MANAGEMENT EIN 04-2955404 N/A | Investment management fees paid directly by plan Service code 51 | — | $29K |
| SEAPORT GROUP SECURITIES LLC EIN 46-4157685 N/A | Securities brokerage Service code 33 | — | $12K |
| MELLON BANK EIN 13-3379014 N/A | Securities brokerage Service code 33 | — | $10K |
| PICKERING ENERGY PARTNERS INC. EIN 13-2614959 N/A | Securities brokerage Service code 33 | — | $6K |
| GOLDMAN SACHS & CO. EIN 13-4019460 N/A | Securities brokerage Service code 33 | — | $6K |
| SANFORD C BERNSTEIN CO LLC EIN 13-4132593 N/A | Securities brokerage Service code 33 | — | $6K |
| CREDIT SUISSE SECURITIES (USA) LLC EIN 05-0546650 N/A | Securities brokerage Service code 33 | — | $6K |
| HIBERNIA SOUTHCOAST CAPITAL INC EIN 72-1469382 N/A | Securities brokerage Service code 33 | — | $5K |
| ADAMAS OPPORTUNITIES LP EIN 23-2769744 N/A | Investment management fees paid indirectly by plan; Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States) Service code 40 | — | $0 |
| AG REALTY IX EIN 47-1483532 N/A | Investment management fees paid indirectly by plan; Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States) Service code 40 | — | $0 |
| AKO EUROPEAN LONG-ONLY FUND LTD. N/A | Investment management fees paid indirectly by plan; Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States) Service code 40 | — | $0 |
| AMANSA FEEDER LTD N/A | Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States); Investment management fees paid indirectly by plan Service code 40 | — | $0 |
| ARCM DISTRESSED ENERG OPP FEEDER FD N/A | Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States); Investment management fees paid indirectly by plan Service code 40 | — | $0 |
| ASHE CAPITAL PARTNERS LP EIN 46-2984066 N/A | Investment management fees paid indirectly by plan; Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States) Service code 40 | — | $0 |
| BIL, LTD N/A | Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States); Investment management fees paid indirectly by plan Service code 40 | — | $0 |
| BIOTECHNOLOGY VALUE FUND EIN 36-3924730 N/A | Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States); Investment management fees paid indirectly by plan Service code 40 | — | $0 |
| CANTILLON GLOBAL EQUITY FUND EIN 14-1875683 N/A | Investment management fees paid indirectly by plan; Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States) Service code 40 | — | $0 |
| COLCHESTER GLOBAL BOND FUND EIN 36-7324183 N/A | Investment management fees paid indirectly by plan; Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States) Service code 40 | — | $0 |
| COLCHESTER LOCAL MARKETS DEBT FUND EIN 26-3891733 N/A | Investment management fees paid indirectly by plan; Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States) Service code 40 | — | $0 |
| DARLINGTON PARTNERS LP EIN 68-0369383 N/A | Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States); Investment management fees paid indirectly by plan Service code 40 | — | $0 |
| DECCAN VALUE INVESTORS BPI FUND LP EIN 36-4717440 N/A | Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States); Investment management fees paid indirectly by plan Service code 40 | — | $0 |
| EMERGING MARKETS EQUITY EIN 51-0394946 N/A | Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States); Investment management fees paid indirectly by plan Service code 40 | — | $0 |
| FCOI II HOLDINGS LP EIN 98-0467284 N/A | Securities brokerage Service code 33 | — | $0 |
| FIVE POINT CAPITAL MIDSTREAM FD II N/A | Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States); Investment management fees paid indirectly by plan Service code 40 | 1000 MAIN STREET, 36TH FL HOUSTON, TX 77002 | $0 |
| FORTRESS CREDIT OPP FUND IV (B) LP EIN 61-1742367 N/A | Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States); Investment management fees paid indirectly by plan Service code 40 | — | $0 |
| GMO QUALITY FUND EIN 56-2427157 N/A | Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States); Investment management fees paid indirectly by plan Service code 40 | — | $0 |
| ICHIGO JAPAN FUND B N/A | Investment management fees paid indirectly by plan; Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States) Service code 40 | — | $0 |
| KINGSTON PARTNERS LP EIN 20-4556966 N/A | Investment management fees paid indirectly by plan; Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States) Service code 40 | — | $0 |
| LP EIN 47-3716840 N/A | Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States); Investment management fees paid indirectly by plan Service code 40 | — | $0 |
| M SQUARE BRAZIL VALUE LONG ONLY FD EIN 74-3244128 N/A | Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States); Investment management fees paid indirectly by plan Service code 40 | — | $0 |
| NAYA FUND LTD N/A | Investment management fees paid indirectly by plan; Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States) Service code 40 | — | $0 |
| SHERIDAN PRODUCTION PARTNERS III-B EIN 47-1948368 N/A | Investment management fees paid indirectly by plan; Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States) Service code 40 | — | $0 |
| SOCIAL & CAPITAL PART OPP FUND LP EIN 98-1222388 N/A | Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States); Investment management fees paid indirectly by plan Service code 40 | — | $0 |
| SOROBAN EIN 98-1184159 N/A | Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States); Investment management fees paid indirectly by plan Service code 40 | — | $0 |
| TAILWATER E&P OPP FUND II EIN 47-4098699 N/A | Investment management fees paid indirectly by plan; Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States) Service code 40 | — | $0 |
| THACKERAY PARTNERS REALTY FUND IV EIN 38-3941473 N/A | Investment management fees paid indirectly by plan; Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States) Service code 40 | — | $0 |
| Y COMBINATOR CONTINUITY FUND I LP EIN 47-4486108 N/A | Foreign entity (e.g., an agent or broker, bank, insurance company, etc. not operating within jurisdictional boundaries of the United States); Investment management fees paid indirectly by plan Service code 40 | — | $0 |
Benefits declared on the Form 5500 main form (✓ = also has a Schedule A insurance contract; otherwise the benefit is funded out of plan assets or via a Schedule C TPA).
The plan reports several different headcounts depending on which form you read. Each one measures a different slice of the population.
| Active participants | 0 | Currently employed and enrolled or eligible. |
| Retired/separated still receiving benefits | 2,891 | Continuation coverage (COBRA, retiree health). |
| Total participants (= "Plan participants" tile) | 2,891 | Active + retired/separated + beneficiaries. No dependents. |
| Coverage | Top carrier | Persons covered EOY | Premium |
|---|---|---|---|
| Health (medical)(3 contracts, 3 carriers) | AETNA HEALTH, INC. | 201 | $640K |
| Dental | METROPOLITAN LIFE INSURANCE COMPANY | 1,094 | $294K |
| Life insurance | AETNA LIFE INSURANCE COMPANY | 2,509 | $320K |
| Prescription drug(2 contracts, 2 carriers) | AMERIHEALTH HMO | 6 | $55K |
| Persons covered (= "Persons covered" tile) | Max across the rows above | 2,509 | — |
Why the numbers differ. Form 5500 line 6 counts employees + retirees + beneficiaries; no dependents. Schedule A persons-covered counts everyone enrolled, including spouses and children, so it usually exceeds line 6 by 30-60% on a working-age workforce. The medical row is normally the broadest single line because it has the highest take-up; dental/vision/life often dip below it. Stop-loss / reinsurance contracts sometimes report the carrier's full underwriting pool rather than this filer's headcount; the row is shown for transparency but shouldn't be read as "people in this plan."
Broker comp is under 1% of premium on a >$1M plan. Plan may be flying solo or paying a flat fee — consultant sales target.
Filing reports zero broker compensation on a plan over 100 participants. Likely direct-write or unreported — worth a knock.
Schedule A presence shifted between filings (insured ↔ self-funded, or new contracts added/removed). Capture the transition window.