Fidelity bond in place
Yes
Filing
Capstone Corporation 401(K) Plan
CLIENT SOLUTION ARCHITECTS LLC • EIN 54-1393220 • Plan year 2019
Filing Insights
Participants
Down476 → 385
-91 • -19.12%
Assets
Up$11,547,167 → $15,899,024
$4,351,857 • 37.69%
Investment Management Fee
0.00%$0
Admin expenses $8,529 • Total expenses $1,372,100
Filing Details
Context- Net investment result
- $4,351,857
- Accountant opinion
- Disclaimer of opinion
- Pension payor EIN
- 42-0127290
Status Flags
Limited-scope audit performed
Not reported
Contributions transmitted on time
Yes
Participant loans in default
No
Leases in default
No
Reportable party-in-interest issues
No
Loss discovered during year
No
Assets with undetermined value
No
Non-cash contributions
No
Assets held for investment
Yes
5% transactions reported
No
All plan assets distributed
No
Benefits paid when due
No
Plan blackout period
No
Plan termination resolution adopted
No
Counterparties
Known direct compensation$8,5280.06%
| Provider | Services | Location | Direct Compensation | Related |
|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANYEIN 42-0127290 | Auditing, Investment management, Service code 37, Service code 99, Other services, Service code 64 | - | $8,5280.06% | Principal Life Insurance Company |
| LOCKTON INVESTMENT ADVISORSEIN 20-8874282 | Investment management, Service code 99 | - | $00.00% | - |
| PRINCIPAL LIFE INSURANCE COMPANYEIN 42-0127290 | Auditing, Investment management, Service code 37, Service code 99, Other services, Service code 64 | - | - | Principal Life Insurance Company |
| THOMPSON GREENSPONEIN 54-1029635 | Accountant, Disclaimer of opinion | - | - | - |
Company Timeline
This filing is highlighted inside the broader sponsor history.
| Year / Filing | Filings | Participants | Assets | Contributions | Contrib./Participant |
|---|---|---|---|---|---|
| 2024 | 3 | 734 | $43,146,626 | $6,658,223 | $9,071iApproximate average salary by contribution assumption: employee only about $226,779 at 4% or $151,186 at 6%; with 50% employer match about $151,186 at 4% or $100,791 at 6%; with 100% employer match about $113,389 at 4% or $75,593 at 6%. |
| Capstone Corporation 401(K) Plan | - | 734 | $43,146,626 | $6,658,223 | $9,071iApproximate average salary by contribution assumption: employee only about $226,779 at 4% or $151,186 at 6%; with 50% employer match about $151,186 at 4% or $100,791 at 6%; with 100% employer match about $113,389 at 4% or $75,593 at 6%. |
| Csa Health and Welfare Plan | - | 527 | - | - | - |
| Csa Health and Welfare Plan | - | 527 | - | - | - |
| 2023 | 1 | 780 | $37,971,320 | $7,511,184 | $9,630iApproximate average salary by contribution assumption: employee only about $240,743 at 4% or $160,495 at 6%; with 50% employer match about $160,495 at 4% or $106,997 at 6%; with 100% employer match about $120,372 at 4% or $80,248 at 6%. |
| Capstone Corporation 401(K) Plan | - | 780 | $37,971,320 | $7,511,184 | $9,630iApproximate average salary by contribution assumption: employee only about $240,743 at 4% or $160,495 at 6%; with 50% employer match about $160,495 at 4% or $106,997 at 6%; with 100% employer match about $120,372 at 4% or $80,248 at 6%. |
| 2022 | 1 | 768 | $31,706,226 | $7,169,008 | $9,335iApproximate average salary by contribution assumption: employee only about $233,366 at 4% or $155,577 at 6%; with 50% employer match about $155,577 at 4% or $103,718 at 6%; with 100% employer match about $116,683 at 4% or $77,789 at 6%. |
| Capstone Corporation 401(K) Plan | - | 768 | $31,706,226 | $7,169,008 | $9,335iApproximate average salary by contribution assumption: employee only about $233,366 at 4% or $155,577 at 6%; with 50% employer match about $155,577 at 4% or $103,718 at 6%; with 100% employer match about $116,683 at 4% or $77,789 at 6%. |
| 2021 | 3 | 652 | $21,794,911 | $4,135,630 | $6,343iApproximate average salary by contribution assumption: employee only about $158,575 at 4% or $105,717 at 6%; with 50% employer match about $105,717 at 4% or $70,478 at 6%; with 100% employer match about $79,287 at 4% or $52,858 at 6%. |
| Capstone Corporation 401(K) Plan | - | 652 | $21,794,911 | $4,135,630 | $6,343iApproximate average salary by contribution assumption: employee only about $158,575 at 4% or $105,717 at 6%; with 50% employer match about $105,717 at 4% or $70,478 at 6%; with 100% employer match about $79,287 at 4% or $52,858 at 6%. |
| Csa Health and Welfare Plan | - | 0 | - | - | - |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 0 | - | - | - |
| 2020 | 3 | 425 | $19,746,658 | $3,117,465 | $7,335iApproximate average salary by contribution assumption: employee only about $183,380 at 4% or $122,254 at 6%; with 50% employer match about $122,254 at 4% or $81,502 at 6%; with 100% employer match about $91,690 at 4% or $61,127 at 6%. |
| Capstone Corporation 401(K) Plan | - | 425 | $19,746,658 | $3,117,465 | $7,335iApproximate average salary by contribution assumption: employee only about $183,380 at 4% or $122,254 at 6%; with 50% employer match about $122,254 at 4% or $81,502 at 6%; with 100% employer match about $91,690 at 4% or $61,127 at 6%. |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 343 | - | - | - |
| Csa Health and Welfare Plan | - | 159 | - | - | - |
| 2019 | 2 | 385 | $15,899,024 | $3,505,927 | $9,106iApproximate average salary by contribution assumption: employee only about $227,658 at 4% or $151,772 at 6%; with 50% employer match about $151,772 at 4% or $101,181 at 6%; with 100% employer match about $113,829 at 4% or $75,886 at 6%. |
| Capstone Corporation 401(K) Plan | Current | 385 | $15,899,024 | $3,505,927 | $9,106iApproximate average salary by contribution assumption: employee only about $227,658 at 4% or $151,772 at 6%; with 50% employer match about $151,772 at 4% or $101,181 at 6%; with 100% employer match about $113,829 at 4% or $75,886 at 6%. |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 318 | - | - | - |
| 2018 | 2 | 251 | $11,547,167 | $1,388,285 | $5,531iApproximate average salary by contribution assumption: employee only about $138,275 at 4% or $92,184 at 6%; with 50% employer match about $92,184 at 4% or $61,456 at 6%; with 100% employer match about $69,138 at 4% or $46,092 at 6%. |
| Capstone Corporation 401(K) Plan | - | 251 | $11,547,167 | $1,388,285 | $5,531iApproximate average salary by contribution assumption: employee only about $138,275 at 4% or $92,184 at 6%; with 50% employer match about $92,184 at 4% or $61,456 at 6%; with 100% employer match about $69,138 at 4% or $46,092 at 6%. |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 205 | - | - | - |
| 2017 | 2 | 222 | $12,025,457 | $1,210,843 | $5,454iApproximate average salary by contribution assumption: employee only about $136,356 at 4% or $90,904 at 6%; with 50% employer match about $90,904 at 4% or $60,603 at 6%; with 100% employer match about $68,178 at 4% or $45,452 at 6%. |
| Capstone Corporation 401(K) Plan | - | 222 | $12,025,457 | $1,210,843 | $5,454iApproximate average salary by contribution assumption: employee only about $136,356 at 4% or $90,904 at 6%; with 50% employer match about $90,904 at 4% or $60,603 at 6%; with 100% employer match about $68,178 at 4% or $45,452 at 6%. |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 167 | - | - | - |
| 2016 | 2 | 221 | $10,401,880 | $995,654 | $4,505iApproximate average salary by contribution assumption: employee only about $112,631 at 4% or $75,087 at 6%; with 50% employer match about $75,087 at 4% or $50,058 at 6%; with 100% employer match about $56,315 at 4% or $37,544 at 6%. |
| Capstone Corporation 401(K) Plan | - | 221 | $10,401,880 | $995,654 | $4,505iApproximate average salary by contribution assumption: employee only about $112,631 at 4% or $75,087 at 6%; with 50% employer match about $75,087 at 4% or $50,058 at 6%; with 100% employer match about $56,315 at 4% or $37,544 at 6%. |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 187 | - | - | - |
| 2015 | 2 | 251 | $10,930,749 | $1,086,090 | $4,327iApproximate average salary by contribution assumption: employee only about $108,176 at 4% or $72,118 at 6%; with 50% employer match about $72,118 at 4% or $48,078 at 6%; with 100% employer match about $54,088 at 4% or $36,059 at 6%. |
| Capstone Corporation 401(K) Plan | - | 251 | $10,930,749 | $1,086,090 | $4,327iApproximate average salary by contribution assumption: employee only about $108,176 at 4% or $72,118 at 6%; with 50% employer match about $72,118 at 4% or $48,078 at 6%; with 100% employer match about $54,088 at 4% or $36,059 at 6%. |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 187 | - | - | - |
| 2014 | 3 | 243 | $11,709,263 | $1,478,835 | $6,086iApproximate average salary by contribution assumption: employee only about $152,144 at 4% or $101,429 at 6%; with 50% employer match about $101,429 at 4% or $67,619 at 6%; with 100% employer match about $76,072 at 4% or $50,715 at 6%. |
| Capstone Corporation 401(K) Plan | - | 243 | $11,709,263 | $1,478,835 | $6,086iApproximate average salary by contribution assumption: employee only about $152,144 at 4% or $101,429 at 6%; with 50% employer match about $101,429 at 4% or $67,619 at 6%; with 100% employer match about $76,072 at 4% or $50,715 at 6%. |
| Csa Health and Welfare Plan | - | 97 | - | - | - |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 228 | - | - | - |
| 2013 | 3 | 320 | $13,366,287 | $2,181,880 | $6,818iApproximate average salary by contribution assumption: employee only about $170,459 at 4% or $113,640 at 6%; with 50% employer match about $113,640 at 4% or $75,760 at 6%; with 100% employer match about $85,230 at 4% or $56,820 at 6%. |
| Capstone Corporation 401(K) Plan | - | 320 | $13,366,287 | $2,181,880 | $6,818iApproximate average salary by contribution assumption: employee only about $170,459 at 4% or $113,640 at 6%; with 50% employer match about $113,640 at 4% or $75,760 at 6%; with 100% employer match about $85,230 at 4% or $56,820 at 6%. |
| Csa Health and Welfare Plan | - | 120 | - | - | - |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 233 | - | - | - |
| 2012 | 3 | 448 | $12,317,402 | $2,541,189 | $5,672iApproximate average salary by contribution assumption: employee only about $141,807 at 4% or $94,538 at 6%; with 50% employer match about $94,538 at 4% or $63,026 at 6%; with 100% employer match about $70,904 at 4% or $47,269 at 6%. |
| Capstone Corporation 401(K) Plan | - | 448 | $12,317,402 | $2,541,189 | $5,672iApproximate average salary by contribution assumption: employee only about $141,807 at 4% or $94,538 at 6%; with 50% employer match about $94,538 at 4% or $63,026 at 6%; with 100% employer match about $70,904 at 4% or $47,269 at 6%. |
| Csa Health and Welfare Plan | - | 181 | - | - | - |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 245 | - | - | - |
| 2011 | 3 | 511 | $10,690,461 | $2,733,725 | $5,350iApproximate average salary by contribution assumption: employee only about $133,744 at 4% or $89,163 at 6%; with 50% employer match about $89,163 at 4% or $59,442 at 6%; with 100% employer match about $66,872 at 4% or $44,581 at 6%. |
| Capstone Corporation 401(K) Plan | - | 511 | $10,690,461 | $2,733,725 | $5,350iApproximate average salary by contribution assumption: employee only about $133,744 at 4% or $89,163 at 6%; with 50% employer match about $89,163 at 4% or $59,442 at 6%; with 100% employer match about $66,872 at 4% or $44,581 at 6%. |
| Csa Health and Welfare Plan | - | 190 | - | - | - |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 372 | - | - | - |
| 2010 | 3 | 541 | $10,588,143 | $3,152,973 | $5,828iApproximate average salary by contribution assumption: employee only about $145,701 at 4% or $97,134 at 6%; with 50% employer match about $97,134 at 4% or $64,756 at 6%; with 100% employer match about $72,851 at 4% or $48,567 at 6%. |
| Capstone Corporation 401(K) Plan | - | 541 | $10,588,143 | $3,152,973 | $5,828iApproximate average salary by contribution assumption: employee only about $145,701 at 4% or $97,134 at 6%; with 50% employer match about $97,134 at 4% or $64,756 at 6%; with 100% employer match about $72,851 at 4% or $48,567 at 6%. |
| Csa Health and Welfare Plan | - | 293 | - | - | - |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 444 | - | - | - |
| 2009 | 3 | 503 | $0 | $0 | - |
| Capstone Corporation 401(K) Plan | - | - | - | - | - |
| Csa Health and Welfare Plan | - | 379 | - | - | - |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 503 | - | - | - |
| 2008 | 3 | 407 | $3,566,330 | $1,915,859 | $4,707iApproximate average salary by contribution assumption: employee only about $117,682 at 4% or $78,455 at 6%; with 50% employer match about $78,455 at 4% or $52,303 at 6%; with 100% employer match about $58,841 at 4% or $39,227 at 6%. |
| Capstone Corporation 401(K) Plan | - | 404 | $3,566,330 | $1,915,859 | $4,742iApproximate average salary by contribution assumption: employee only about $118,556 at 4% or $79,037 at 6%; with 50% employer match about $79,037 at 4% or $52,691 at 6%; with 100% employer match about $59,278 at 4% or $39,519 at 6%. |
| Csa Health and Welfare Plan | - | 192 | - | - | - |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 407 | - | - | - |
| 2007 | 3 | 342 | $3,616,337 | $981,386 | $2,870iApproximate average salary by contribution assumption: employee only about $71,739 at 4% or $47,826 at 6%; with 50% employer match about $47,826 at 4% or $31,884 at 6%; with 100% employer match about $35,869 at 4% or $23,913 at 6%. |
| Capstone Corporation 401(K) Plan | - | 234 | $3,616,337 | $981,386 | $4,194iApproximate average salary by contribution assumption: employee only about $104,849 at 4% or $69,899 at 6%; with 50% employer match about $69,899 at 4% or $46,600 at 6%; with 100% employer match about $52,424 at 4% or $34,950 at 6%. |
| Csa Health and Welfare Plan | - | 180 | - | - | - |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 342 | - | - | - |
| 2006 | 3 | 235 | $2,991,959 | $692,810 | $2,948iApproximate average salary by contribution assumption: employee only about $73,703 at 4% or $49,135 at 6%; with 50% employer match about $49,135 at 4% or $32,757 at 6%; with 100% employer match about $36,852 at 4% or $24,568 at 6%. |
| Capstone Corporation 401(K) Plan | - | 227 | $2,991,959 | $692,810 | $3,052iApproximate average salary by contribution assumption: employee only about $76,301 at 4% or $50,867 at 6%; with 50% employer match about $50,867 at 4% or $33,911 at 6%; with 100% employer match about $38,150 at 4% or $25,434 at 6%. |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 235 | - | - | - |
| Csa Health and Welfare Plan | - | 146 | - | - | - |
| 2005 | 3 | 230 | $2,375,969 | $554,215 | $2,410iApproximate average salary by contribution assumption: employee only about $60,241 at 4% or $40,161 at 6%; with 50% employer match about $40,161 at 4% or $26,774 at 6%; with 100% employer match about $30,120 at 4% or $20,080 at 6%. |
| Capstone Corporation 401(K) Plan | - | 217 | $2,375,969 | $554,215 | $2,554iApproximate average salary by contribution assumption: employee only about $63,850 at 4% or $42,566 at 6%; with 50% employer match about $42,566 at 4% or $28,378 at 6%; with 100% employer match about $31,925 at 4% or $21,283 at 6%. |
| Csa Health and Welfare Plan | - | 119 | - | - | - |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 230 | - | - | - |
| 2004 | 2 | 179 | $1,819,701 | $424,824 | $2,373iApproximate average salary by contribution assumption: employee only about $59,333 at 4% or $39,555 at 6%; with 50% employer match about $39,555 at 4% or $26,370 at 6%; with 100% employer match about $29,666 at 4% or $19,778 at 6%. |
| Capstone Corporation 401(K) Plan | - | 167 | $1,819,701 | $424,824 | $2,544iApproximate average salary by contribution assumption: employee only about $63,596 at 4% or $42,398 at 6%; with 50% employer match about $42,398 at 4% or $28,265 at 6%; with 100% employer match about $31,798 at 4% or $21,199 at 6%. |
| Csa Health and Welfare Plan | - | 179 | - | - | - |
| 2003 | 4 | 163 | $1,511,929 | $354,447 | $2,175iApproximate average salary by contribution assumption: employee only about $54,363 at 4% or $36,242 at 6%; with 50% employer match about $36,242 at 4% or $24,161 at 6%; with 100% employer match about $27,182 at 4% or $18,121 at 6%. |
| Capstone Corporation 401(K) Plan | - | 87 | $1,511,929 | $354,447 | $4,074iApproximate average salary by contribution assumption: employee only about $101,853 at 4% or $67,902 at 6%; with 50% employer match about $67,902 at 4% or $45,268 at 6%; with 100% employer match about $50,926 at 4% or $33,951 at 6%. |
| Csa Health and Welfare Plan | - | 163 | - | - | - |
| Csa Health and Welfare Plan | - | 0 | - | - | - |
| Capstone Corporation Dental Vision Life Ad&D Ltd and Std Plan | - | 0 | - | - | - |
| 2002 | 1 | 157 | $974,096 | $323,631 | $2,061iApproximate average salary by contribution assumption: employee only about $51,534 at 4% or $34,356 at 6%; with 50% employer match about $34,356 at 4% or $22,904 at 6%; with 100% employer match about $25,767 at 4% or $17,178 at 6%. |
| Capstone Corporation 401(K) Plan | - | 157 | $974,096 | $323,631 | $2,061iApproximate average salary by contribution assumption: employee only about $51,534 at 4% or $34,356 at 6%; with 50% employer match about $34,356 at 4% or $22,904 at 6%; with 100% employer match about $25,767 at 4% or $17,178 at 6%. |
| 2001 | 1 | 195 | $862,915 | $269,130 | $1,380iApproximate average salary by contribution assumption: employee only about $34,504 at 4% or $23,003 at 6%; with 50% employer match about $23,003 at 4% or $15,335 at 6%; with 100% employer match about $17,252 at 4% or $11,501 at 6%. |
| Capstone Corporation 401(K) Plan | - | 195 | $862,915 | $269,130 | $1,380iApproximate average salary by contribution assumption: employee only about $34,504 at 4% or $23,003 at 6%; with 50% employer match about $23,003 at 4% or $15,335 at 6%; with 100% employer match about $17,252 at 4% or $11,501 at 6%. |
| 2000 | 1 | 73 | $0 | $0 | - |
| Capstone Corporation 401(K) Plan | - | 73 | - | - | - |
Schedule Details
Schedule A
- Row 1
- Ins Carrier Name: PRINCIPAL LIFE INSURANCE COMPANY
- Form Id
- 1
- Schedule A Plan Year Begin Date
- 2019-01-01
- Schedule A Plan Year End Date
- 2019-12-31
- Schedule A Plan Num
- 001
- Schedule A EIN
- 54-1393220
- Ins Carrier Name
- PRINCIPAL LIFE INSURANCE COMPANY
- Ins Carrier EIN
- 42-0127290
- Ins Carrier Naic Code
- 61271
- Ins Contract Num
- 519422
- Ins Prsn Covered End of year Count
- 556
- Ins Policy From Date
- 2019-01-01
- Ins Policy To Date
- 2019-12-31
- Ins Broker Comm Total Amount
- $0
- Ins Broker Fees Total Amount
- $0
- Pension End of year Gen Account Amount
- $0
- Pension End of year Sep Account Amount
- $4,752,740
- Pens Distr Bnft Terminate Pln Indicator
- No
- Pension End of year Bal Amount
- $0
- Ins Fail Provide Info Indicator
- No
Schedule C
Schedule C Provider
PRINCIPAL LIFE INSURANCE COMPANY
CONTRACT ADMINISTRATOR • EIN 42-0127290
Direct compensation$8,528
AuditingInvestment managementService code 37Service code 99Other servicesService code 64
Indirect compensationYes
Formula-based compensationNo
PayorPRINCIPAL LIFE INSURANCE COMPANY
Compensation basisINVESTMENT ADVISORY (PLAN)
Source fields
- Row 1
- Service code: Auditing
- Service code
- Auditing
- Row 2
- Service code: Investment management
- Service code
- Investment management
- Row 3
- Service code: Service code 37
- Service code
- Service code 37
- Row 4
- Service code: Service code 99
- Service code
- Service code 99
- Row 5
- Service code: Other services
- Service code
- Other services
- Row 6
- Service code: Service code 64
- Service code
- Service code 64
- PRINCIPAL LIFE INSURANCE COMPANY
- Eligible provider name
- PRINCIPAL LIFE INSURANCE COMPANY
- Eligible provider EIN
- 42-0127290
- Row 8
- Provider Indirect Name
- LOCKTON INVESTMENT ADVISORS
- Provider Indirect Comp Amount
- $32,969
- Provider Payor Name
- PRINCIPAL LIFE INSURANCE COMPANY
- Provider Payor EIN
- 42-0127290
- Provider Comp Explain Text
- INVESTMENT ADVISORY (PLAN)
- Row 9
- Provider Terminate Name
- RUBINO & COMPANY, CHARTERED
- Provider Terminate EIN
- 52-1186096
- Provider Terminate Position
- ACCOUNTANT
- Provider Terminate US Address1
- 6903 ROCKLEDGE DRIVE
- Provider Terminate US Address2
- SUITE 1200
- Provider Terminate US City
- BETHESDA
- Provider Terminate US State
- MD
- Provider Terminate US ZIP
- 208171818
- Provider Terminate Phone Num
- 3015643636
- Provider Terminate Text
- A DECISION WAS MADE TO CHANGE AUDITORS BECAUSE WE WANTED NEW SERVICES FROM A DIFFERENT FIRM.
- PRINCIPAL LIFE INSURANCE COMPANY
- Other provider name
- PRINCIPAL LIFE INSURANCE COMPANY
- Other provider EIN
- 42-0127290
- Relationship to employer or plan
- CONTRACT ADMINISTRATOR
- Direct compensation
- $8,528
- Indirect compensation reported
- Yes
- Provider Other Elig Indicator Comp Indicator
- Yes
- Provider Other Total Indicator Comp Amount
- $0
- Provider Other Amount Formula Indicator
- No
Schedule C Provider
LOCKTON INVESTMENT ADVISORS
INVESTMENT ADVISORY • EIN 20-8874282
Direct compensation$0
Investment managementService code 99
Indirect compensationYes
Formula-based compensationNo
Source fields
- Row 11
- Service code: Investment management
- Service code
- Investment management
- Row 12
- Service code: Service code 99
- Service code
- Service code 99
- LOCKTON INVESTMENT ADVISORS
- Other provider name
- LOCKTON INVESTMENT ADVISORS
- Other provider EIN
- 20-8874282
- Relationship to employer or plan
- INVESTMENT ADVISORY
- Direct compensation
- $0
- Indirect compensation reported
- Yes
- Provider Other Elig Indicator Comp Indicator
- No
- Provider Other Total Indicator Comp Amount
- $32,969
- Provider Other Amount Formula Indicator
- No
Schedule C Provider
Provider 3
Provider details
Source fields
- Row 14
- Excluded provider reported
- Yes
Schedule D
- Row 1
- DFE P1 Entity Name
- PRIN LGCAP S&P 500 IDX SA-SIG
- DFE P1 Spons Name
- PRINCIPAL LIFE INSURANCE COMPANY
- DFE P1 Plan EIN
- 42-0127290
- DFE P1 Plan Plan number
- 016
- DFE P1 Entity Code
- P
- DFE P1 Plan Interest End of year Amount
- $622,295
- Row 2
- DFE P1 Entity Name
- PRIN SMCAP S&P 600 IDX SA-SIG
- DFE P1 Spons Name
- PRINCIPAL LIFE INSURANCE COMPANY
- DFE P1 Plan EIN
- 42-0127290
- DFE P1 Plan Plan number
- 028
- DFE P1 Entity Code
- P
- DFE P1 Plan Interest End of year Amount
- $323,252
- Row 3
- DFE P1 Entity Name
- PRIN MIDCAP S&P 400 IDX SA-SIG
- DFE P1 Spons Name
- PRINCIPAL LIFE INSURANCE COMPANY
- DFE P1 Plan EIN
- 42-0127290
- DFE P1 Plan Plan number
- 023
- DFE P1 Entity Code
- P
- DFE P1 Plan Interest End of year Amount
- $362,313
- Row 4
- DFE P1 Entity Name
- PRIN SMALLCAP GROWTH I SA-SIG
- DFE P1 Spons Name
- PRINCIPAL LIFE INSURANCE COMPANY
- DFE P1 Plan EIN
- 42-0127290
- DFE P1 Plan Plan number
- 070
- DFE P1 Entity Code
- P
- DFE P1 Plan Interest End of year Amount
- $475,594
- Row 5
- DFE P1 Entity Name
- PRIN LARGECAP GROWTH I SA-SIG
- DFE P1 Spons Name
- PRINCIPAL LIFE INSURANCE COMPANY
- DFE P1 Plan EIN
- 42-0127290
- DFE P1 Plan Plan number
- 066
- DFE P1 Entity Code
- P
- DFE P1 Plan Interest End of year Amount
- $2,117,839
- Row 6
- DFE P1 Entity Name
- PRINCIPAL STABLE VALUE SGNTURE
- DFE P1 Spons Name
- PRINCIPAL GLOBAL INVESTORS TRUST CO
- DFE P1 Plan EIN
- 93-6274328
- DFE P1 Plan Plan number
- 001
- DFE P1 Entity Code
- C
- DFE P1 Plan Interest End of year Amount
- $3,861,465
- Row 7
- DFE P1 Entity Name
- PRIN EQUITY INCOME SA-SIG
- DFE P1 Spons Name
- PRINCIPAL LIFE INSURANCE COMPANY
- DFE P1 Plan EIN
- 42-0127290
- DFE P1 Plan Plan number
- 120
- DFE P1 Entity Code
- P
- DFE P1 Plan Interest End of year Amount
- $851,448
- Row 8
- Schedule D Plan Year Begin Date
- 2019-01-01
- Schedule D Tax Period
- 2019-12-31
- Schedule D Plan number
- 001
- Schedule D EIN
- 54-1393220
Schedule H
Schedule H Financial Statement
Large plan result
Assets, contributions, fees, audit, and compliance fields reported for this large-plan filing.
End-of-year assets$15,899,024$4,351,857 change
Balance Sheet
Beginning and end of plan year.
Total assets$11,547,167$15,899,024Increase +$4,351,857 (37.69%)
Total liabilities$0$0No change $0
Net assets$11,547,167$15,899,024Increase +$4,351,857 (37.69%)
Contributions
Employer contributions$541,492
Participant contributions$1,535,668
Other contributions$1,428,767
Total contributions$3,505,927
Income & Investment Result
Total income$5,723,957
Interest$7,851
Dividends$135,709
Net income$4,351,857
Expenses & Fees
Benefits paid$1,363,127
Investment management$0
Administrative expenses$8,529
Total expenses$1,372,100
Accountant
FirmTHOMPSON GREENSPON
Firm EIN54-1029635
OpinionDisclaimer of opinion
Compliance
Fidelity bondYes
Fidelity bond amount$500,000
Participant loans$172,926
Late contributionsYes
Schedule H source fields
- Financial summary
- Total assets at beginning of year: $11,547,167Total assets at end of year: $15,899,024Total liabilities at end of year: $0Net income or loss: $4,351,857
- Schedule H Plan Year Begin Date
- 2019-01-01
- Schedule H Tax Period
- 2019-12-31
- Schedule H Plan number
- 001
- Schedule H EIN
- 54-1393220
- Employer Contribution Beginning of year Amount
- $3,885
- Participants Contribution Beginning of year Amount
- $0
- Other Receivables Beginning of year Amount
- $0
- Participant loans at beginning of year
- $117,434
- Interest Common Tr Beginning of year Amount
- $3,067,535
- Interest Pool Sep Account Beginning of year Amount
- $3,015,367
- Interest in registered investment companies at beginning of year
- $5,342,946
- Total assets at beginning of year
- $11,547,167
- Bnfts Payable Beginning of year Amount
- $0
- Oprtng Payable Beginning of year Amount
- $0
- Acquis Indbt Beginning of year Amount
- $0
- Other Liability Beginning of year Amount
- $0
- Total liabilities at beginning of year
- $0
- Net assets at beginning of year
- $11,547,167
- Employer Contribution End of year Amount
- $9,311
- Participants Contribution End of year Amount
- $0
- Other Receivables End of year Amount
- $0
- Participant loans at end of year
- $172,926
- Interest Common Tr End of year Amount
- $3,861,465
- Interest Pool Sep Account End of year Amount
- $4,752,740
- Interest in registered investment companies at end of year
- $7,102,582
- Total assets at end of year
- $15,899,024
- Total liabilities at end of year
- $0
- Net assets at end of year
- $15,899,024
- Employer contributions
- $541,492
- Participant contributions
- $1,535,668
- Oth Contribution Rcvd Amount
- $1,428,767
- Total contributions
- $3,505,927
- Interest Bear Cash Amount
- $0
- Interest On Govt Sec Amount
- $0
- Interest On Corp Debt Amount
- $0
- Interest On Oth Loans Amount
- $0
- Interest on participant loans
- $7,851
- Interest On Oth Investment Amount
- $0
- Total interest income
- $7,851
- Divnd Pref Stock Amount
- $0
- Divnd Common Stock Amount
- $0
- Registered investment income
- $135,709
- Total dividend income
- $135,709
- Total Rents Amount
- $0
- Aggregate Proceeds Amount
- $0
- Aggregate Costs Amount
- $0
- Net gain or loss on sale of assets
- $0
- Unrealized Apprctn Re Amount
- $0
- Unrealized Apprctn Oth Amount
- $0
- Net unrealized appreciation or depreciation
- $0
- Gain Loss Com Trust Amount
- $152,276
- Gain Loss Pool Sep Amount
- $1,085,750
- Gain Loss Master Tr Amount
- $0
- Gain Loss 103 12 Investment Amount
- $0
- Gain or loss on registered investments
- $836,439
- Other Income Amount
- $5
- Total income
- $5,723,957
- Participant distributions
- $1,363,127
- Ins Carrier Bnfts Amount
- $0
- Oth Bnft Payment Amount
- $0
- Total benefit distributions
- $1,363,127
- Total Corrective Distribution Amount
- $444
- Total Deemed Distr Part Lns Amount
- $0
- Professional Fees Amount
- $0
- Contract Admin Fees Amount
- $8,529
- Investment management fees
- $0
- Other Admin Fees Amount
- $0
- Total administrative expenses
- $8,529
- Total expenses
- $1,372,100
- Net income or loss
- $4,351,857
- Total Transfers To Amount
- $0
- Accountant opinion type
- Disclaimer of opinion
- Account Performed Limited Audit Indicator
- Yes
- Accountant firm name
- THOMPSON GREENSPON
- Accountant firm EIN
- 54-1029635
- Failed to transmit participant contributions on time
- Yes
- Fail Transmit Contribution Amount
- $776
- Participant loans in default
- No
- Loans In Default Amount
- $0
- Leases in default
- No
- Leases In Default Amount
- $0
- Nonexempt transactions with parties in interest
- No
- Party In Interest Not Reported Amount
- $0
- Fidelity bond in place
- Yes
- Fidelity bond amount
- $500,000
- Loss discovered during year
- No
- Assets with undetermined value
- No
- Non-cash contributions reported
- No
- Assets held for investment
- Yes
- Reportable 5% transactions
- No
- All plan assets distributed
- No
- Failed to provide benefits when due
- No
- Blackout period occurred
- No
- Resolution to terminate plan adopted
- No
Schedule R
Schedule R Pension Information
Retirement plan characteristics
Testing, payor, opinion-letter, and transfer information reported with the filing.
Pension & Payor
Payor EIN42-0127290
Transfers
Liabilities in multiple plansNo
Distributed property value$0
Schedule R source fields
- Payor 42-0127290
- Schedule R Plan Year Begin Date
- 2019-01-01
- Schedule R Tax Period
- 2019-12-31
- Schedule R Plan number
- 001
- Schedule R EIN
- 54-1393220
- Pension Value Dstrb Pd Property Amount
- $0
- Pension payor EIN
- 42-0127290
- Liability shared by multiple plans
- No
Filing received by DOL Dec 18, 2020