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Original filing (PDF)20231016120733NAL0038252785001
EXCEEDING EXPECTATIONS, INC.
Form 5500
FILING_RECEIVED
EXCEEDING EXPECTATIONS 401(K) PLAN
401(k) retirement plan
Active participants
77
Accounts w/ balance
102
Plan assets (EOY)
$4.1M
Net assets (EOY)
$4.1M
Plan health score (directional)
95
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
75
Total plan cost
100
Vendor stack
100
Participation health
100
Helping the score
- Concentration not scored — Schedule of Assets PDF not yet parsed for this plan.
- Below-peer total fees (29 bps vs 52 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for EXCEEDING EXPECTATIONS, INC..
Plan sponsor
Name
EXCEEDING EXPECTATIONS, INC.
EIN
14-1789602
Address
123 MAPLE AVE · SARATOGA SPRINGS, NY · 12866
Phone
(518) 587-0108
Industry
Accommodation & Food Servicessee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2022
Plan year begin
2022-01-01
Tax period
2022-12-31
Filed
2023-10-16
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
FREDETTE,SANKOWSI AND COMPANY
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
2 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | 04-2647786 | — | RECORDKEEPER | $819 | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PKS ADVISORY SERVICES LLC | 14-1836183 | — | ADVISOR | $11K | — |
Investments
The Schedule of Assets is filed as a free-form PDF attachment on EFAST2; we parse these offline and coverage is partial (priority is the largest plans by EOY assets). This plan also reports no pooled (Schedule D) interests, so its holdings aren’t hidden on a master-trust filing. The line-item data lives on DOL EFAST2 under the same ACK_ID.
See Methodology > Data linkages for how Form 5500 / Schedule H / Schedule D / Schedule of Assets fit together.
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