401k Record

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Research Affiliates 401(k)

Administrative expenses excluding investment management, per participant · Research Affiliates, LLC 401(k) Plan · plan year 2023

$177.65

Higher than 73% of the 23,494 plans $10 to 50M that report it.

Source

= $15,633 / 88
derived, admin_expenses (2i(12)) minus invst_mgmt_fees (2i(5)), floored at 0; filing 20240829141229NAL0029492914001, received 2024-08-29
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20240829141229NAL0029492914001, received 2024-08-29

10th: $12.50median $105.8490th: $309.83

Percentiles compare this plan with the Schedule H plans $10 to 50M in assets of the same plan year, excluding final filings; shown only where at least 50 comparable plans report the figure. Plan year 2023-01-01 to 2023-12-31, filing received 2024-08-29.

Cost and contributions

Recordkeeping fees per participant

not reported

Not reported on this filing.

Administrative expenses per participant

$177.65

10th: $21.83median $171.6490th: $417.48

Higher than 52% of the 24,286 plans $10 to 50M that report it.

Source

= $15,633 / 88
Schedule H, line 2i(12) total administrative expenses; TOT_ADMIN_EXPENSES_AMT pos 109; filing 20240829141229NAL0029492914001, received 2024-08-29
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20240829141229NAL0029492914001, received 2024-08-29

Administrative expenses as a share of assets

0.064%

10th: 0.029%median 0.269%90th: 0.572%

Higher than 17% of the 24,321 plans $10 to 50M that report it.

Source

= $15,633 / $24,466,648
Schedule H, line 2i(12) total administrative expenses; TOT_ADMIN_EXPENSES_AMT pos 109; filing 20240829141229NAL0029492914001, received 2024-08-29
assets_eoy: Schedule H, Part I line 1f col (b); TOT_ASSETS_EOY_AMT pos 61; filing 20240829141229NAL0029492914001, received 2024-08-29

Employer contributions per participant

$8,223

10th: $655median $2,02590th: $4,780

Higher than 98% of the 23,376 plans $10 to 50M that report it.

Source

= $723,626 / 88
Schedule H, Part II line 2a(1)(A); EMPLR_CONTRIB_INCOME_AMT pos 68; filing 20240829141229NAL0029492914001, received 2024-08-29
participants_with_balance: Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20240829141229NAL0029492914001, received 2024-08-29

Employer share of total contributions

37.2%

10th: 13.2%median 28.1%90th: 46.4%

Higher than 78% of the 23,409 plans $10 to 50M that report it.

Source

= $723,626 / $1,947,139
Schedule H, Part II line 2a(1)(A); EMPLR_CONTRIB_INCOME_AMT pos 68; filing 20240829141229NAL0029492914001, received 2024-08-29
total_contrib: Schedule H, line 2a(3); TOT_CONTRIB_AMT pos 72; filing 20240829141229NAL0029492914001, received 2024-08-29

Plan terms, as stated in Research Affiliates, LLC's SEC filings

Plan terms are not published in public filings.

Plan features

2A age/service-weighted · 2E profit-sharing · 2F ERISA 404(c) plan · 2G fully participant-directed · 2J 401(k) feature · 2K 401(m) arrangement · 2S pre-approved plan document · 2T default investment (QDIA) · 3B · 3D IRS pre-approved plan · Form 5500, line 8a; TYPE_PENSION_BNFT_CODE pos 81; filing 20240829141229NAL0029492914001, received 2024-08-29

Full record, Research Affiliates, LLC 401(k) Plan

FieldValueSource
Plan sponsorRESEARCH AFFILIATES, LLCForm 5500, Part II line 2a; SPONSOR_DFE_NAME pos 19; filing 20240829141229NAL0029492914001, received 2024-08-29
Plan nameRESEARCH AFFILIATES, LLC 401(K) PLANForm 5500, line 1a; PLAN_NAME pos 16; filing 20240829141229NAL0029492914001, received 2024-08-29
Sponsor EIN / plan number02-0570299 / 001Form 5500, line 2b; SPONS_DFE_EIN pos 44; filing 20240829141229NAL0029492914001, received 2024-08-29
Plan typesingle-employerForm 5500, Part I line A; TYPE_PLAN_ENTITY_CD pos 4; filing 20240829141229NAL0029492914001, received 2024-08-29
Sponsor locationNEWPORT BEACH, CAForm 5500, line 2a; SPONS_DFE_MAIL_US_STATE pos 25; filing 20240829141229NAL0029492914001, received 2024-08-29
Industry (business code)523900, Finance and insuranceForm 5500, line 2d; BUSINESS_CODE pos 46; filing 20240829141229NAL0029492914001, received 2024-08-29
Plan year2023-01-01 to 2023-12-31Form 5500, Part I plan year; FORM_PLAN_YEAR_BEGIN_DATE pos 2; filing 20240829141229NAL0029492914001, received 2024-08-29
Filing received2024-08-29Form 5500, EFAST2 receipt date; DATE_RECEIVED pos 102; filing 20240829141229NAL0029492914001, received 2024-08-29
Final filingnoForm 5500, Part I line B; FINAL_FILING_IND pos 8; filing 20240829141229NAL0029492914001, received 2024-08-29
Amended filingnoForm 5500, Part I line B; AMENDED_IND pos 7; filing 20240829141229NAL0029492914001, received 2024-08-29
Participants, beginning of year103Form 5500, line 5; TOT_PARTCP_BOY_CNT pos 71; filing 20240829141229NAL0029492914001, received 2024-08-29
Active participants59Form 5500, line 6a(2); TOT_ACTIVE_PARTCP_CNT pos 72; filing 20240829141229NAL0029492914001, received 2024-08-29
Participants, end of year88Form 5500, line 6f; TOT_ACT_RTD_SEP_BENEF_CNT pos 77; filing 20240829141229NAL0029492914001, received 2024-08-29
Participants with an account balance88Form 5500, line 6g(2); PARTCP_ACCOUNT_BAL_CNT pos 78; filing 20240829141229NAL0029492914001, received 2024-08-29
Total assets, beginning of year$23,790,120Schedule H, Part I line 1f col (a); TOT_ASSETS_BOY_AMT pos 30; filing 20240829141229NAL0029492914001, received 2024-08-29
Total assets, end of year$24,466,648Schedule H, Part I line 1f col (b); TOT_ASSETS_EOY_AMT pos 61; filing 20240829141229NAL0029492914001, received 2024-08-29
Net assets, end of year$24,466,648Schedule H, line 1l col (b); NET_ASSETS_EOY_AMT pos 67; filing 20240829141229NAL0029492914001, received 2024-08-29
Total income$4,693,470Schedule H, Part II line 2d; TOT_INCOME_AMT pos 97; filing 20240829141229NAL0029492914001, received 2024-08-29
Net income$676,528Schedule H, line 2k; NET_INCOME_AMT pos 111; filing 20240829141229NAL0029492914001, received 2024-08-29
Employer contributions$723,626Schedule H, Part II line 2a(1)(A); EMPLR_CONTRIB_INCOME_AMT pos 68; filing 20240829141229NAL0029492914001, received 2024-08-29
Participant contributions$1,207,718Schedule H, line 2a(1)(B); PARTICIPANT_CONTRIB_AMT pos 69; filing 20240829141229NAL0029492914001, received 2024-08-29
Other contributions (incl. rollovers)$15,795Schedule H, line 2a(1)(C); OTH_CONTRIB_RCVD_AMT pos 70; filing 20240829141229NAL0029492914001, received 2024-08-29
Total contributions$1,947,139Schedule H, line 2a(3); TOT_CONTRIB_AMT pos 72; filing 20240829141229NAL0029492914001, received 2024-08-29
Benefit payments$4,001,309Schedule H, line 2e(4); TOT_DISTRIB_BNFT_AMT pos 101; filing 20240829141229NAL0029492914001, received 2024-08-29
Total expenses (incl. benefit payments)$4,016,942Schedule H, line 2j; TOT_EXPENSES_AMT pos 110; filing 20240829141229NAL0029492914001, received 2024-08-29
Total administrative expenses$15,633Schedule H, line 2i(12) total administrative expenses; TOT_ADMIN_EXPENSES_AMT pos 109; filing 20240829141229NAL0029492914001, received 2024-08-29
Contract administrator fees$15,633Schedule H, line 2i(2); CONTRACT_ADMIN_FEES_AMT pos 106; filing 20240829141229NAL0029492914001, received 2024-08-29
Administrative expenses excluding investment management$15,633derived, admin_expenses (2i(12)) minus invst_mgmt_fees (2i(5)), floored at 0; filing 20240829141229NAL0029492914001, received 2024-08-29
Held in mutual funds$23,567,720Schedule H, line 1c(13) col (b); INT_REG_INVST_CO_EOY_AMT pos 55; filing 20240829141229NAL0029492914001, received 2024-08-29
Independent auditorERNST & YOUNG US LLPSchedule H, Part III line 3a; ACCOUNTANT_FIRM_NAME pos 116; filing 20240829141229NAL0029492914001, received 2024-08-29

Position = column in the DOL layout for form year 2023. Filing 20240829141229NAL0029492914001, received 2024-08-29.

Service providers paid directly by the plan

ProviderRelationshipService codesDirect compensationIndirect
STANCORP FINANCIAL GROUPrecordkeeperNONE 12 Claims processing; 15 Recordkeeping and information management; 18 Custodial (other than securities); 50 Direct payment from the plan $15,633no
CHARLES SCHWAB TRUST BANKNONE 19 Custodial (securities); 59 Shareholder servicing fees $0yes

Schedule C Part I line 2: name (a), service codes (b), relationship (c), direct compensation paid by the plan (d), indirect compensation received (e). Filing 20240829141229NAL0029492914001, received 2024-08-29.

No filing for the previous plan year is in the data, so there is no year-over-year comparison.

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Sponsor name as filed: RESEARCH AFFILIATES, LLC; SEC registrant: Research Affiliates, LLC (CIK 1337848, matched by EIN).