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FORM 5500 DATA

TD Ameritrade 401k Profit Sharing Plan

Overview

Plan Information

  • Plan Year01/01/2019 — 12/31/2019
  • Date of Plan01/19/1981
  • Net Assets as of 12/31/2019 $1,699,043,437
  • Plan Number1
  • Plan Type Single Employer
  • Is the plan collectively bargained? No
  • Did the plan file for an extension of time or the DFVC Program?Yes
  • Plan Funding Arrangement Trust
  • Plan Benefit Arrangement Trust

Participant Information as of 12/31/2019

  • Active (Eligible) Participants9,286
  • Retired or separated participants receiving benefits299
  • Other retired or separated participants entitled to future benefits4,146
  • Subtotal13,731
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits9
  • Total13,740
  • Total number of participants as of 01/01/201913,913
  • Number of participants with account balances13,552
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested1,296

Expenses

  • Total Benefit Payments$0
  • Corrective Distributions$0
  • Administrative Service Providers$0
  • Other Expenses$0
  • Total Expenses$0
  • Total Transfers$0

Sponsor Information

  • Address200 S. 108th Avenue
  • CityOmaha
  • StateNE
  • Zip68154-2631
  • Telephone(201) 369-8970
  • EIN82-0543156
  • Industry Code523120
  • Named AdministratorFrank Tassiello

Audit Information

  • Audit StatusAudited
  • AuditorErnst & Young
  • Auditor EIN34-6565596
  • Audit Opinion Disclaimer
  • Audit TypeLimited Scope Audit

Benefits Provided Under the Plan

Code Benefit Description
2A Age/Service Weighted or New Comparability or Similar Plan Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New Comparability or Similar Plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the threshold or additional rate allowed under the permitted disparity rules of section 401(l)
2E Profit-sharing A defined contribution plan that allows employer discretionary contributions. These plans often contain a 401(k) feature.
2F ERISA section 404(c) Plan This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
2G Total participant-directed account plan Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
2J Code section 401(k) feature A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
2K Code section 401(m) arrangement Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contributions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
2R Brokerage Window Participant-directed brokerage accounts provided as an investment option under the plan.
2S Automatic Enrollment Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
2T Participant-directed Account Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
3H Controlled Group Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

Questions and Answers

Question Answer Amount
During the plan year did the employer fail to transmit to the plan any participant contributions within the time period described in 29 CFT 2510.3-102? No
Were any loans by the plan or fixed income obligations due the plan in default as of the close of plan year or classified during the year as uncollectible? Disregard participant loans secured by participant's account balance. No
Were any leases to which the plan was a party in default or classified during the year as uncollectible? No
Were there any nonexempt transactions with any party-in-interest? No
Was this plan covered by a fidelity bond? Yes $25,000,000
Did the plan have a loss, whether or not reimbursed by the plan's fidelity bond, that was caused by fraud or dishonesty? No
Did the plan hold any assets whose current value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan receive any noncash contributions whose value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan have assets held for investment? Yes
Were any plan transactions or series of transactions in excess of 5% of the current value of plan assets? No
Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? No
Has the plan failed to provide any benefit when due under the plan? No
If this is an individual account plan, was there a blackout period? No
If there was a blackout period, have you either provided the required notice or one of the exceptions to providing the notice applied under 29 CFR 2520.101-3? No

Financials

Income and Expense Statement

Income $435,224,378
Contributions $144,562,226
Cash Contributions $144,562,226
Cash from Employers $57,863,788
Cash from Participants $76,880,748
Others (including rollovers) $9,817,690
Noncash Contributions $0
Total Earnings on Investments $244,633,024
Total Interest $1,624,170
Interest-Bearing Cash $210,087
U.S. Government Securities $5,844
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $1,325,091
Interest from Other Investments $83,148
Total Dividends $18,272,261
Preferred Stock $19,626
Common Stock $5,617,098
Rents $0
Net gain (loss) on sale of assets $0
Aggregate Proceeds $0
Aggregate Carrying Amount $0
Total Unrealized Appreciation (depreciation) of assets $0
Real Estate $0
Other $0
Net investment gain (loss) from common/collective trusts $101,797,465
Net investment gain (loss) from pooled separate accounts $0
Net investment gain (loss) from master trust investment accounts $0
Net investment gain (loss) from 103-12 investment entities $0
Net investment gain (loss) from registered investment companies $122,939,128
Other Income $46,029,128
Expenses $119,279,437
Total Benefit Payments $118,195,374
Directly to participants or beneficiaries, including direct rollovers $118,195,374
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $0
Certain deemed distributions of participant loans $-237,316
Interest expense $0
Total Administrative Expenses $1,321,379
Professional Fees $0
Contract Administrator Fees $961,354
Investment Advisory and management fees $360,025
Other Administrative Fees $0
Net Income $315,944,941
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2019 12/31/2018 Change YOY
Total Assets $1,701,581,520 $1,384,750,214 22.88%
Total noninterest-bearing cash $775,624 $867,077 -10.55%
Receivables $36,032,116 $33,869,408 6.39%
Employer Contributions $33,428,598 $32,142,629 4.00%
Participant Contributions $0 $0 0.0%
Other Contributions $2,603,518 $1,726,779 50.77%
General Investments $112,510,267 $96,502,769 16.59%
Interest-bearing cash $112,506,470 $96,489,592 16.60%
U.S. Government Securities $3,797 $13,177 -71.18%
Corporate Debt Instruments $2,424,040 $2,034,878 19.12%
Preferred $0 $0 0.0%
All Other $2,424,040 $2,034,878 19.12%
Corporate Stocks $139,348,045 $98,896,361 40.90%
Preferred $366,723 $269,748 35.95%
Common $138,981,322 $98,626,613 40.92%
Partnership/joint venture interests $0 $0 0.0%
Real estate (other than employer real property) $0 $0 0.0%
Loans (other than to participants) $0 $0 0.0%
Participants Loans $24,661,582 $24,056,830 2.51%
Value of interest in common/collective trusts $565,498,677 $440,554,192 28.36%
Value of interest in pooled separate accounts $0 $0 0.0%
Value of interest in master trust investment accounts $0 $0 0.0%
Value of interest in 103-12 investment entities $0 $0 0.0%
Value of interest in registered investment companies $696,926,957 $551,464,078 26.38%
Value of funds held in insurance co. general account $0 $0 0.0%
Other Investments $3,487,294 $3,829,164 -8.93%
Employer-related Investments $119,916,918 $132,675,457 -9.62%
Employer Securities $119,916,918 $132,675,457 -9.62%
Employer Real Property $0 $0 0.0%
Buildings and other property used in plan operation $0 $0 0.0%
Total Liabilities $2,538,083 $1,651,718 53.66%
Benefit Claims Payable (1) $0 $0 0.0%
Operating Payables (1) $265,051 $254,419 4.18%
Acquisition Indebtedness (1) $0 $0 0.0%
Other liabilities (1) $2,273,032 $1,397,299 62.67%
Net Assets $1,699,043,437 $1,383,098,496 22.84%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

There is no information on eligible indirect compensation for this plan.

Other Service Providers Receiving Direct or Indirect Compensation

Name Nature of Service Relationship to Plan Sponsor Direct Compensation Paid by Plan Indirect Compensation Paid by Plan Total Compensation
Great-West Life & Annuity Insurance Recordkeeping fees Investment Advisor $957,318 $0 $957,318
Td Ameritrade, Inc Securities brokerage Brokerage Services $474,328 $0 $474,328
Mercer Investment Consulting Inc Investment advisory (plan) Investment Advisor $120,550 $0 $120,550
Creative Planning Securities brokerage commissions and fees Advisor $54,563 $0 $54,563
Wilson Sonsini Goodrich & Rosati Legal Attorney $37,133 $0 $37,133
Modera Wealth Management LLC Securities brokerage commissions and fees Advisor $36,180 $0 $36,180
Frisch Financial Group Inc Securities brokerage commissions and fees Advisor $17,511 $0 $17,511
Beacon Ret Planning Svcs Inc Securities brokerage commissions and fees Advisor $12,385 $0 $12,385
The Burney Company Securities brokerage commissions and fees Advisor $9,367 $0 $9,367
G&S Capital LLC Securities brokerage commissions and fees Advisor $7,717 $0 $7,717
Viridian Securities brokerage commissions and fees Advisor $6,904 $0 $6,904
Hiley Hunt Wealth Management Inc Securities brokerage commissions and fees Advisor $6,527 $0 $6,527
Polaris Greystone Financial Group Securities brokerage commissions and fees Advisor $5,884 $0 $5,884
Ironwood Invmt Counsel LLC Securities brokerage commissions and fees Advisor $4,683 $0 $4,683
Frontier Investment Mgmt Co Securities brokerage commissions and fees Advisor $3,953 $0 $3,953
Wellesley Asset Management, Inc. Securities brokerage commissions and fees Advisor $3,549 $0 $3,549
Cwa Asset Management Group LLC Securities brokerage commissions and fees Advisor $1,916 $0 $1,916
Enright Premier Wealth Advisors Securities brokerage commissions and fees Advisor $1,870 $0 $1,870
Garrett Investment Advisors LLC Securities brokerage commissions and fees Advisor $1,802 $0 $1,802
Occidental Asset Mgt LLC Securities brokerage commissions and fees Advisor $1,704 $0 $1,704
Ritholtz Wealth Mgmt Securities brokerage commissions and fees Advisor $1,505 $0 $1,505
United Asset Strategies Inc Securities brokerage commissions and fees Advisor $1,329 $0 $1,329
Larson Financial Group Securities brokerage commissions and fees Advisor $945 $0 $945
Oncubic LLC Securities brokerage commissions and fees 260373212 $654 $0 $654
Churchill Management Group Securities brokerage commissions and fees Advisor $236 $0 $236
Total $1,770,513 $0 $1,770,513

Indirect Compensation

Name Source of Indirect Compensation* Nature of Service Description of Indirect Compensation Indirect Compensation Paid by Plan
Td Ameritrade, Inc. Open Brokerage Window Securities brokerage Income From Market Per Qualified Trade, Bps On Sweep Funds, and Mutual Fund Fees Disclosed In Td Ameritrades 408(B)(2): $0
Td Ameritrade, Inc. Ab Large Cap Growth Fund Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Aberdeen Investment Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Aberdeen Standard Unit Trust I Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Advisors Inner Circle Fd II (Hnck H Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Aim International Mutual Funds (Inv Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Alger Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Alger Funds II Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Alps Series Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Amcap Fund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. American Balanced Fund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. American Century Asset Alloc Port I Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. American Century Capital Portfolios Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. American Century Government Income Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. American Century Investment Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. American Century Mutual Funds Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. American Century World Mutual Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. American Growth Fund Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. American Mutual Fund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Amg Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Amg Funds I Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Baird Funds Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Berkshire Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Blackrock Equity Dividend Fund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Blackrock Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Blackrock Funds II Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Blackrock Funds V Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Blackrock Global Allocation Fund In Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Bny Mellon Index Funds, Inc. Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Brown Advisory Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Brown Capital Management Mutual Fun Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Buffalo Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Calamos Investment Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Calvert Fund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Capital World Growth & Income Fund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Carillon Series Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Causeway Capital Management Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Cohen & Steers Global Realty Shares Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Cohen & Steers Preferred Securities Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Columbia Funds Series Trust I Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Commonwealth International Series T Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Conestoga Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Davis New York Venture Fund Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Dfa Investment Dimensions Group Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Dimensional Investment Group Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Dodge & Cox Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Domini Investment Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Doubleline Funds Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Eaton Vance Mutual Funds Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Europacific Growth Fund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Fairholme Funds Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Federated Equity Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Fenimore Asset Management Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Fidelity Aberdeen Street Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Fidelity Advisor Series I Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Fidelity Capital Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Fidelity Concord Street Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Fidelity Contrafund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Fidelity Investment Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Fidelity Magellan Fund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Fidelity Puritan Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Fidelity Securities Fund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Fidelity Select Portfolios Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Fidelity Summer Street Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Fiera Capital Series Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Financial Investors Trust(Alps) Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Fmi Funds Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Forum Funds (Absolute Strategies) Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Fpa Funds Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Franklin High Income Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Franklin Mutual Series Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Fundvantage Trust (Polen) Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Gabelli Equity Series Funds Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Glenmede Fund Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Goldman Sachs Trust II Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Guggenheim Funds Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Guggenheim Funds Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Harbor Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Harding Loevner Funds Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Harris Associates Investment Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Hennessy Funds Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Homestead Funds Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Hussman Investment Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Index Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Investment Managers Series Tr(Europ Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Investment Managers Series Tr(Gavek Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Investment Managers Series Trust(36 Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Janus Investment Fund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Jensen Quality Growth Fund Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Jp Morgan Trust II Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Jpmorgan Trust I Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Kinetics Mutual Funds Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Laudus Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Lazard Funds Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Legg Mason Partners Income Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Litman Gregory Funds Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Loomis Sayles Funds I Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Lord Abbett Investment Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Matthews International Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Metropolitan West Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Miller Investment Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Money Market Obligations Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Morgan Stanley Institutional Fund I Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. New Perspective Fund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. New World Fund Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Northern Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Northern Lights Fund Tr (Sierra) Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Nuveen Investment Trust V Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Oak Associates Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Parnassus Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Parnassus Income Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Pax World Funds Series Trust I Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Pear Tree Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Permanent Portfolio Family of Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Pimco Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Primecap Odyssey Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Professionally Managed Portfolios Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Profunds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Rbb Fund Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Royce Fund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Rydex Dynamic Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Rydex Series Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Saturna Investment Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Schwab Capital Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Selected American Shares Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Sequoia Fund Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Shelton Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Ssga Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. State Street Institutional Investme Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Sterling Capital Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Sunamerica Series, Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T Rowe Price Balanced Fund Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T Rowe Price Corporate Income Fd In Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T Rowe Price Global Tech Fund Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T Rowe Price Growth & Income Fund I Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T Rowe Price High Yield Fund Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T Rowe Price Instl Income Funds Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T Rowe Price International Funds In Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T Rowe Price New Horizons Fund Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T Rowe Price Retirement Funds Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T Rowe Price Small-Cap Value Fund I Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T Rowe Price Value Fund Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T. Rowe Price Blue Chip Growth Fund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T. Rowe Price Capital Appreciation Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T. Rowe Price Dividend Gr Fund, Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T. Rowe Price Equity Income Fund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T. Rowe Price Financial Servs Fund, Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T. Rowe Price Floating Rate Fund, I Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T. Rowe Price Global Multi-Sector B Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T. Rowe Price Media & Telecommunica Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T. Rowe Price New America Growth Fu Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T. Rowe Price Personal Strat Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T. Rowe Price Quantitative Manageme Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T. Rowe Price Real Estate Fund Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. T. Rowe Price Science & Technology Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Tcw Funds Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Templeton Income Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Thornburg Investment Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Thrivent Mutual Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Tiaa-Cref Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Tocqueville Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Touchstone Strategic Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Trust for Advised Portfolios Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Trust for Professional Managers Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Two Roads Shared Trust (Redwood) Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Usaa Mutual Funds Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Value Line Fund Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Value Line Premier Growth Fund Inc Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Value Line Small Cap Opportunities Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Vanguard Bond Index Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Vanguard Chester Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Vanguard Fixed Income Securities Fu Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Vanguard Index Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Vanguard International Equity Index Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Vanguard Malvern Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Vanguard Money Market Reserves Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Vanguard Montgomery Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Vanguard Specialized Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Vanguard Star Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Vanguard Wellesley Income Fund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Vanguard Whitehall Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Vanguard Windsor Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Vanguard World Fund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Victory Portfolios Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Virtus Asset Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Virtus Equity Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Wasatch Funds Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Washington Mutual Investors Fund Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Wells Fargo Funds Trust Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Westchester Capital Funds Securities brokerage Range From 0-100 Bps $0
Td Ameritrade, Inc. Western Asset Funds Inc Securities brokerage Range From 0-100 Bps $0
Beacon Ret Planning Svcs Inc Beacon Ret Planning Svcs Inc Securities brokerage commissions and fees Management Fee $0
Churchill Management Group Churchill Management Group Securities brokerage commissions and fees Management Fee $0
Creative Planning Inc. Creative Planning Inc. Securities brokerage commissions and fees Management Fee $0
Cwa Asset Management Group LLC Cwa Asset Management Group LLC Securities brokerage commissions and fees Management Fee $0
Enright Premier Wealth Advisors Enright Premier Wealth Advisors Securities brokerage commissions and fees Management Fee $0
Frisch Financial Group Inc Frisch Financial Group Inc Securities brokerage commissions and fees Management Fee $0
Frontier Investment Mgmt Co Frontier Investment Mgmt Co Securities brokerage commissions and fees Management Fee $0
G&S Capital LLC G&S Capital LLC Securities brokerage commissions and fees Management Fee $0
Garrett Investment Advisors Ll Garrett Investment Advisors Ll Securities brokerage commissions and fees Management Fee $0
Hiley Hunt Wealth Management, Inc. Hiley Hunt Wealth Management, Inc. Securities brokerage commissions and fees Management Fee $0
Ironwood Invmt Counsel LLC Ironwood Invmt Counsel LLC Securities brokerage commissions and fees Management Fee $0
Larson Financial Group Larson Financial Group Securities brokerage commissions and fees Management Fee $0
Modera Wealth Management LLC Modera Wealth Management LLC Securities brokerage commissions and fees Management Fee $0
Occidental Asset Mgt LLC Occidental Asset Mgt LLC Securities brokerage commissions and fees Management Fee $0
Oncubic LLC Oncubic LLC Securities brokerage commissions and fees Management Fee $0
Polaris Greystone Financial Group, Polaris Greystone Financial Group, Securities brokerage commissions and fees Management Fee $0
Ritholtz Wealth Mgmt Ritholtz Wealth Mgmt Securities brokerage commissions and fees Management Fee $0
The Burney Company The Burney Company Securities brokerage commissions and fees Management Fee $0
United Asset Strategies Inc United Asset Strategies Inc Securities brokerage commissions and fees Management Fee $0
Viridian Viridian Securities brokerage commissions and fees Management Fee $0
Wellesley Asset Management, Inc. Wellesley Asset Management, Inc. Securities brokerage commissions and fees Management Fee $0
Td Ameritrade, Inc. Vanguard Trustees' Equity Fund Securities brokerage Range From 0-100 Bps $0
*As outlined by the Form 5500 Instructions for service providers with indirect compensation.

Service Providers Who Fail or Refuse to Provide Information

There are no service providers who failed or refused to provide information.

Termination Information on Accountants and Enrolled Actuaries

There is no termination information for this plan.

Investments

Investments

Name of Investment Investment Manager Type of Investment Dollar Value
The Vanguard Target Ret 2040 Tr I Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $115,264,880
The Vanguard Target Ret 2030 Tr I Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $75,977,530
The Vanguard Target Ret 2035 Tr I Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $68,077,282
The Vanguard Target Ret 2045 Tr I Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $64,106,426
The Vanguard Target Ret 2050 Tr I Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $61,403,569
The Vanguard Target Ret 2055 Tr I Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $47,570,122
The Vanguard Target Ret 2025 Tr I Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $28,146,755
Trowe Price Emberging Markets Eq Tr T. Rowe Price Collective Trusts DFE: Common/Collective Trust $27,073,956
The Vanguard Target Ret 2020 Tr I Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $23,686,646
Loomis Sayles Core Pl Fixd Inc Tr C Loomis Sayles Funds DFE: Common/Collective Trust $22,194,131
The Vanguard Target Ret 2060 Tr I Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $19,171,969
The Vanguard Target Ret Inc Trust I Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $5,968,462
The Vanguard Target Ret 2015 Tr I Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $4,518,015
The Vanguard Target Ret 2065 Tr I Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $2,338,936
The Vanguard Target Ret 2015 Tr II Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $0
The Vanguard Target Ret 2020 Tr II Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $0
The Vanguard Target Ret 2025 Tr II Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $0
The Vanguard Target Ret 2030 Tr II Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $0
The Vanguard Target Ret 2035 II Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $0
The Vanguard Target Ret 2040 Tr II Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $0
The Vanguard Target Ret 2045 Tr II Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $0
The Vanguard Target Ret 2050 Tr II Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $0
The Vanguard Target Ret 2055 Tr II Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $0
The Vanguard Target Ret Incm Tr II Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $0
The Vanguard Target Ret 2065 Tr II Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $0
The Vanguard Target Ret 2060 Tr II Vanguard Collective Investment Trust Funds DFE: Common/Collective Trust $0
Total $565,498,679

Insurance Information

Insurance Information

There are no insurance carriers listed for this plan.