Plan Snapshot
- Plan Sponsor: Behavioral Systems Southwest, INC.
- Sponsor EIN: 953238991
- Sponsor Address: 118 AVENIDA VICTORIA, SAN CLEMENTE, CA, 92672
- Plan Type: 401(k)
- Total Participants: 167
- Total Assets: $6.3M
Key Plan Design Features
- Auto-Enrollment: Yes
- Auto-Escalation: No
- Allows Roth Contributions: No
- Participant Loans: No
- Participant-Directed Investments: Yes
- ERISA Section 404(c) Fiduciary Safe Harbor: Yes
Plan Financials by Year
| Year | Participants | Total Assets | Employer Contrib. | Employee Contrib. |
|---|---|---|---|---|
| 2024 | 167 | $6.3M | $0 | $250,146 |
| 2023 | 109 | $5.5M | $200,000 | $209,044 |
| 2022 | 104 | $5.7M | $125,268 | $211,016 |
Service Providers (Schedule C)
Vendors paid $5,000 or more for services to the plan, ranked by total compensation (direct + indirect fees).
| Provider Name | Role | Direct Compensation | Indirect Compensation | Total Fees |
|---|---|---|---|---|
| LPL FINANCIAL LLC | Investment Advisor | $14,069 | — | $14,069 |
| FIDELITY INVESTMENTS INSTITUTIONAL | Recordkeeper | $11,729 | — | $11,729 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- LPL FINANCIAL LLC — Investment Advisor
- FIDELITY INVESTMENTS INSTITUTIONAL — Recordkeeper
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $25,798
- Estimated Expense Ratio: 0.411% of plan assets
Historical Administrative Expenses
Breakdown of administrative expense categories reported on Form 5500 filings.
| Year | Total Admin Expenses | Investment Mgmt Fees | Contract Admin Fees | IQPA Audit Fees | Professional Fees |
|---|---|---|---|---|---|
| 2024 | $25,798 | $14,069 | — | — | — |
| 2023 | $23,731 | $13,376 | — | — | — |
| 2022 | $29,124 | — | — | — | — |