404(a)(5) Participant Fee Disclosure - Fi360
404(a)(5) Participant Fee Disclosure - Fi360
404(a)(5) Participant Fee Disclosure - Fi360
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Prepared for: Fourth Ave. Associates 401k<br />
<strong>Fee</strong>s Paid By Plan <strong>Participant</strong>s Plan Assets: $631,227.00 <strong>Participant</strong>s: 59<br />
This section will review the annual direct and indirect expenses charged against the Plan. Direct expenses will be paid from the plan's assets and deducted from individual plan<br />
accounts on a pro-rata basis. Indirect expenses are paid through the investments in which you invest. Each investment option may charge an expense ratio that can either be kept in<br />
full by the investment manager or used to compensate other service providers for services they provide to the plan.<br />
Compensation from Plan <strong>Participant</strong>s<br />
Direct fees paid to MDC Advisors, Inc. for RIA services<br />
+ Advisory <strong>Fee</strong>: 15.00 bps of plan assets assessed yearly.<br />
<strong>Fee</strong>s for investment advisory and other management services.<br />
Direct fees paid via the expense ratio to the investment manager<br />
+ Effective Mgmt <strong>Fee</strong>: 52.47 bps of plan assets assessed annually.<br />
Indirect revenue sharing paid via the expense ratio to MDC Advisors, Inc.<br />
+ 12b-1 Sales <strong>Fee</strong>: 5.18 bps of plan assets assessed annually.<br />
Indirect revenue sharing paid via the expense ratio to MDC Financial, Inc.<br />
+ Sub-TA <strong>Fee</strong>: 4.67 bps of plan assets assessed annually.<br />
+ Shareholder Service <strong>Fee</strong>: 1.99 bps of plan assets assessed annually.<br />
$947<br />
$3,312<br />
$327<br />
$295<br />
$126<br />
Net annual recurring fees $5,008<br />
0.79% of plan assets or approximately $7.93 per $1,000 invested<br />
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fi360_Landscape_v6_0<br />
Fund data as of 1/31/2014 | Holdings as of 01/31/2014<br />
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