Plan Snapshot
- Plan Sponsor: Brean Capital, LLC
- Sponsor EIN: 134113323
- Sponsor Address: 505 5TH AVENUE, 5TH FLOOR, NEW YORK, NY, 10017
- Plan Type: 401(k)
- Total Participants: 173
- Total Assets: $27.9M
Key Plan Design Features
- Auto-Enrollment: Yes
- Auto-Escalation: No
- Allows Roth Contributions: No
- Participant Loans: Yes
- 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 | 173 | $27.9M | $0 | $2.3M |
| 2023 | 178 | $22.5M | $0 | $2.3M |
| 2022 | 158 | $18.4M | $0 | $2.2M |
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 |
|---|---|---|---|---|
| STANCORP FINANCIAL GROUP | NONE | $64,133 | $497 | $64,630 |
| PENSIONMARK FINANCIAL GROUP, LLC | NONE | $41,004 | — | $41,004 |
| KAMLER, LEWIS & NOREMAN LLP | Auditor | — | — | $0 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- STANCORP FINANCIAL GROUP — NONE
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $105,634
- Estimated Expense Ratio: 0.378% 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 | $105,137 | $41,004 | $64,133 | — | — |
| 2023 | $93,841 | $35,646 | $58,195 | — | — |
| 2022 | $92,150 | — | $92,150 | — | — |