No brokers reported on this filing.
| Provider | Services | Address | Compensation |
|---|---|---|---|
| ADP, LLC EIN 13-3036745 N/A | Recordkeeping and information management (computing, tabulating, data processing, etc.) Service code 15 | — | $212K |
| INTERNATIONAL VALUE ADVISORS EIN 41-2253838 N/A | Investment management fees paid directly by plan Service code 51 | — | $159K |
| WELLINGTON TRUST COMPANY, NA EIN 61-1556893 N/A | Investment management fees paid directly by plan Service code 51 | — | $141K |
| ADVISORY RESEARCH EIN 36-2831881 N/A | Investment management fees paid directly by plan Service code 51 | — | $121K |
| SAILING STONE EIN 46-4114066 N/A | Investment management fees paid directly by plan Service code 51 | — | $87K |
| STATE STREET AND TRUST COMPANY EIN 04-1867445 N/A | Trustee (directed) Service code 25 | — | $80K |
| FOCUSED INVESTORS EIN 27-0138622 N/A | Investment management fees paid directly by plan Service code 51 | — | $45K |
| INCOME RESEARCH & MANAGEMENT EIN 04-2955404 N/A | Investment management fees paid directly by plan Service code 51 | — | $19K |
| ADAMAS OPPORTUNITIES LP EIN 23-2769744 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 |
| AG REALTY IX EIN 47-1483532 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 |
| 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 | 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 |
| 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 |
| ARCM FEEDER FUND III, LTD. N/A | Securities brokerage Service code 33 | — | $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 |
| ATTESTOR VALUE FUND, LP EIN 30-0719762 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 |
| 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 |
| BLACKSTONE R.E. PARTNERS VIII-TE 1 EIN 47-3260122 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 | 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 |
| CORE EQUITY HOLDINGS LP 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 | 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 |
| FCOI II HOLDINGS LP EIN 98-0467284 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 |
| FIVE POINT CAPITAL MIDSTREAM FD II 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 | 825 TOWN COUNTRY LN, STE 700 THE WOODLANDS HOUSTON, TX 77024 | $0 |
| FORTRESS CREDIT OPP FUND IV LP EIN 61-1742367 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 |
| GAMUT INVESTMENT FUND I LP EIN 98-1275413 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 |
| 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 |
| GOLDEN GATE CAPITAL OPP FUND LP EIN 98-0546998 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 |
| HILLHOUSE FUND III FEEDER LP EIN 98-1285463 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 |
| 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 |
| IMT CAPITAL FUND IV, LP EIN 37-1797608 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 |
| INVESTINGUSTRIAL VI LP EIN 98-1278465 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 |
| JAB CONSUMER FD SCA SICAR-GLOBAL CO EIN 98-1283774 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 |
| KINGSTOWN 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 |
| 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 | 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 |
| SEQUOIA CAPITAL GLOBAL GROWTH FD II EIN 98-1276677 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 | 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 |
| SOCIAL & CAPITAL PART III FUND LP EIN 98-1222388 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 |
| SOROBAN OPP CAYMAN FUND LTD. EIN 98-1184159 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 |
| SPO PARTNERS II LP EIN 94-3412203 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 |
| STOCKBRIDGE FUND LP EIN 20-8051601 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 |
| SWIFT REAL ESTATE PARTNERS FUND II EIN 81-0714364 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 | 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 |
| 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 |
| THRIVE CAPITAL PARTNERS V LP EIN 81-3043225 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 |
| TYBOURNE LONG OPP OFFSHORE FUND 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 | 2,674 | Continuation coverage (COBRA, retiree health). |
| Total participants (= "Plan participants" tile) | 2,674 | Active + retired/separated + beneficiaries. No dependents. |
| Coverage | Top carrier | Persons covered EOY | Premium |
|---|---|---|---|
| Health (medical)(3 contracts, 3 carriers) | AETNA HEALTH, INC. | 189 | $1.0M |
| Dental | METROPOLITAN LIFE INSURANCE COMPANY | 1,381 | $325K |
| Life insurance | AETNA LIFE INSURANCE COMPANY | 2,639 | $341K |
| Prescription drug(2 contracts, 2 carriers) | INDEPENDENCE BLUE CROSS - KEYSTONE 65 | 111 | $449K |
| Persons covered (= "Persons covered" tile) | Max across the rows above | 2,639 | — |
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."
Total premium grew more than 20% over prior year. Renewal pain — prime candidate for re-shopping the carriers.
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.