| Broker | Address | Carrier | Commissions | Fees | Total comp | % of premium |
|---|---|---|---|---|---|---|
| KEVIN B. JOHNSON3 | 601 UNION ST., SUITE 2500 SEATTLE, WA 98101 | NORTHWESTERN MUTUAL | $160 | $200 | $360 | — |
| ASLAKSON FINANCIAL GROUP INC.3 | 601 UNION ST., SUITE 2500 SEATTLE, WA 98101 | NORTHWESTERN MUTUAL | $46 | $4 | $50 | — |
| GAYLORD E. DAVIS3 | 200 SW MARKET ST., SUITE 1600 PORTLAND, OR 97201 | NORTHWESTERN MUTUAL | $0 | $38 | $38 | — |
| Provider | Services | Address | Compensation |
|---|---|---|---|
| ONEAMERICA RETIREMENT SERVICES, LLC EIN 46-5378846 RECORDKEEPER | Recordkeeping and information management (computing, tabulating, data processing, etc.); Participant loan processing; Recordkeeping fees; Participant communication; Account maintenance fees Service code 15 | — | $402K |
| BRANDES INVESTMENT PARTNERS EIN 33-0704072 INVESTMENT ADVISOR | Investment advisory (participants); Investment management fees paid directly by plan Service code 26 | — | $247K |
| INVESCO INTERNATIONAL EIN 32-6065438 INVESTMENT ADV | Investment advisory (participants); Investment management fees paid directly by plan Service code 26 | — | $238K |
| UBS FINANCIAL SERVICES EIN 13-2638166 INVESTMENT ADVISOR | Account maintenance fees; Investment advisory (plan); Other fees Service code 27 | — | $164K |
| D. A. DAVIDSON INVESTMENT ADVISORS EIN 81-0139474 INVESTMENT ADVISOR | Investment advisory (participants); Investment management fees paid directly by plan Service code 26 | — | $43K |
| NORTHWESTERN MUTUAL EIN 52-2114207 INVESTMENT ADVISOR | Investment management fees paid directly by plan; Investment advisory (participants) Service code 26 | — | $21K |
| TD AMERITRADE EIN 47-0533629 INVESTMENT ADVISOR | Securities brokerage; Investment advisory (participants); Investment management fees paid directly by plan Service code 26 | — | $18K |
| MERRILL LYNCH EIN 13-3266276 INVESTMENT ADV | Investment management fees paid directly by plan; Investment advisory (participants) Service code 26 | — | $16K |
| CONCERT WEALTH MANAGEMENT EIN 26-0815109 INVESTMENT ADV | Investment advisory (participants); Investment management fees paid directly by plan Service code 26 | — | $15K |
| MCGINN INVESTMENT MANAGEMENT INC EIN 52-1760109 INVESTMENT ADVISOR | Investment management fees paid directly by plan; Investment advisory (participants) Service code 26 | — | $9K |
| SONATA CAPITAL GROUP INVESTMENT ADVISOR | Investment advisory (participants); Investment management fees paid directly by plan Service code 26 | 2001 6TH AVE SUITE #2600 SEATTLE, WA 98101 | $8K |
| CHARLES SCHWAB INVESTMENT ADVISOR | Investment management fees paid directly by plan; Investment advisory (participants) Service code 26 | 2423 E. LINCOLN DRIVE PHOENIX, AZ 85016 | $7K |
| COLDSTREAM CAPITAL MANAGEMENT EIN 93-1052371 INVESTMENT ADV | Investment management fees paid directly by plan; Investment advisory (participants) Service code 26 | — | $6K |
| BUCKINGHAM ASSET MANAGEMENT EIN 20-8306720 INVESTMENT ADV | Investment advisory (participants); Investment management fees paid directly by plan Service code 26 | — | $6K |
| MG TRUST COMPANY DBA MATRIX TRUST C EIN 75-3182674 CUSTODIAN | Soft dollars commissions; Float revenue Service code 62 | — | $0 |
| TD AMERITRADE, INC. | Sub-transfer agency fees; Distribution (12b-1) fees; Soft dollars commissions; Shareholder servicing fees Service code 59 | — | $0 |
| UBS FINANCIAL SVCS | Other fees Service code 99 | — | $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 | 1,103 | Currently employed and enrolled or eligible. |
| Retired/separated still receiving benefits | 0 | Continuation coverage (COBRA, retiree health). |
| Retired/separated still eligible | 466 | Vested but not currently using benefits. |
| Beneficiaries receiving benefits | 0 | Spouses or dependents with eligibility independent of the participant. |
| Total participants (= "Plan participants" tile) | 1,569 | Active + retired/separated + beneficiaries. No dependents. |
| Coverage | Top carrier | Persons covered EOY | Premium |
|---|---|---|---|
| Life insurance(4 contracts, 3 carriers) | NORTHWESTERN MUTUAL | 7 | $0 |
| Persons covered (= "Persons covered" tile) | Max across the rows above | 7 | — |
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."
Schedule A presence shifted between filings (insured ↔ self-funded, or new contracts added/removed). Capture the transition window.