| Broker | Address | Carrier | Commissions | Fees | Total comp | % of premium |
|---|---|---|---|---|---|---|
| KEVIN B. JOHNSON3 | 601 UNION ST., SUITE 2500 SEATTLE, WA 98101 | NORTHWESTERN MUTUAL | $160 | $204 | $364 | — |
| ASLAKSON FINANCIAL GROUP INC.3 | 601 UNION ST., SUITE 2500 SEATTLE, WA 98101 | NORTHWESTERN MUTUAL | $46 | $5 | $51 | — |
| Provider | Services | Address | Compensation |
|---|---|---|---|
| ONEAMERICA RETIREMENT SERVICES LLC EIN 46-5378846 RECORDKEEPER | Direct payment from the plan; Participant loan processing; Recordkeeping and information management (computing, tabulating, data processing, etc.); Participant communication; Recordkeeping fees Service code 15 | — | $297K |
| BRANDES INVESTMENT PARTNERS LP EIN 33-0704072 INVESTMENT ADVISOR | Investment advisory (plan); Investment advisory (participants); Investment management fees paid directly by plan Service code 26 | — | $283K |
| MADISON PARK ADVISORS, LLC INVESTMENT ADVISOR | Investment advisory (participants); Investment management fees paid directly by plan Service code 26 | 1201 3RD AVENUE, STE 5040 SEATTLE, WA 98101 | $57K |
| NORTHWESTERN MUTUAL FINANCIAL BROKER SERVICE | Insurance brokerage commissions and fees Service code 53 | 601 UNION STREET, SUITE 2500 SEATTLE, WA 98101 | $40K |
| SONATA CAPITAL GROUP EIN 91-2035283 INVESTMENT ADVISOR | Investment management fees paid directly by plan; Investment advisory (participants) Service code 26 | 2001 6TH AVE SUITE #2600 SEATTLE, WA 98101 | $27K |
| UBS FINANCIAL SERVICES EIN 13-2638166 INVESTMENT ADV | Account maintenance fees; Other fees; Investment advisory (plan) Service code 27 | — | $26K |
| MERRILL LYNCH EIN 13-3266276 INVESTMENT ADV | Investment management fees paid directly by plan; Investment advisory (participants) Service code 26 | — | $18K |
| TD AMERITRADE INC. EIN 47-0533629 BROKER | Securities brokerage; Custodial (securities); Soft dollars commissions; Shareholder servicing fees; Sub-transfer agency fees Service code 19 | — | $14K |
| FIRST REPUBLIC INV COMPANY INVESTMENT ADVISOR | Investment management fees paid directly by plan; Investment advisory (participants) Service code 26 | 111 PINE STREET SAN FRANCISCO, CA 94111 | $13K |
| JEFFERSON PILOT SECURITIES CORPORAT INVESTMENT ADVISOR | Investment management fees paid directly by plan; Investment advisory (participants) Service code 26 | 359 BEL MARIN KEYS BLVD, STE 28 NOVATO, CA 94949 | $13K |
| BECKER CAPITAL MANAGEMENT, INC. EIN 93-0663104 INVESTMENT ADVISOR | Investment management fees paid directly by plan; Investment advisory (participants) Service code 26 | 1211 SW 5TH AVE, STE 2185 PORTLAND, OR 97204 | $9K |
| THE PHIL SCOTT GROUP INVESTMENT ADVISOR | Investment advisory (participants); Investment management fees paid directly by plan Service code 26 | 601 108 AVENUE NE STE 2100 BELLEVUE, WA 98004 | $8K |
| COLDSTREAM CAPITAL MANAGEMENT EIN 93-1052371 INVESTMENT ADV | Investment advisory (participants); Investment management fees paid directly by plan Service code 26 | — | $8K |
| BUCKINGHAM ASSET MANAGEMENT ADV SVS EIN 20-8306720 INVESTMENT ADV | Investment management fees paid directly by plan; Investment advisory (participants) Service code 26 | — | $6K |
| SANFORD BERNSTEIN INVESTMENT ADVISOR | Investment management fees paid directly by plan; Investment advisory (participants) Service code 26 | 601 UNION STREET, STE 4650 SEATTLE, WA 98101 | $5K |
| MATRIX TRUST COMPANY EIN 75-3182674 TRUSTEE | Trustee (directed); Other services; Custodial (other than securities); Trustee (bank, trust company, or similar financial institution); Float revenue; Custodial (securities) Service code 18 | — | $0 |
| MSCS FIN SERVICES DIV OF BROADRIDGE EIN 33-1151291 TRUSTEE | Soft dollars commissions; Shareholder servicing fees; Distribution (12b-1) fees; Sub-transfer agency fees; Finders' fees / placement fees Service code 59 | — | $0 |
| TD AMERITRADE, INC. | Custodial (securities); Distribution (12b-1) fees; Securities brokerage; Shareholder servicing fees; Soft dollars commissions; Sub-transfer agency fees Service code 19 | — | $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 | 1,203 | Currently employed and enrolled or eligible. |
| Retired/separated still receiving benefits | 0 | Continuation coverage (COBRA, retiree health). |
| Retired/separated still eligible | 566 | Vested but not currently using benefits. |
| Beneficiaries receiving benefits | 10 | Spouses or dependents with eligibility independent of the participant. |
| Total participants (= "Plan participants" tile) | 1,779 | Active + retired/separated + beneficiaries. No dependents. |
| Coverage | Top carrier | Persons covered EOY | Premium |
|---|---|---|---|
| Life insurance(3 contracts, 2 carriers) | NORTHWESTERN MUTUAL | 8 | $0 |
| Persons covered (= "Persons covered" tile) | Max across the rows above | 8 | — |
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."
No prospect flags tripped on this filing.