Data Dictionary
Reference guide for all fields available in the 5500Alpha dataset.
108 fields across 15 categories
Plan Identity
10| ack_id | ACK ID | Unique filing identifier |
| ein | EIN | Employer identification number |
| filing_type | Filing Type | Filing category |
| firm | Firm | Plan sponsor name |
| history_tiers | History Tier | Years of plan history |
| sizes | Participant Size | Participant size tier |
| plan_name | Plan Name | Official plan name |
| pin | Plan PIN | Plan identifier |
| plan_history_start | Plan Since | Plan filing inception |
| plan_year | Plan Year | Plan year end |
Industry
5| is_fortune_500 | Fortune 500 | Fortune 500 flag |
| industry | Industry | Detailed industry classification |
| industry_group | Industry Group | Mid-level industry grouping |
| naics | NAICS Code | Industry classification code |
| sector | Sector | Broad industry sector |
Geography
3| cbsa | Metro Area | Metropolitan area |
| region | Region | Geographic region |
| state | State | State |
Participants
8| active_ees_eoy | Active Participants | Active participants at year end |
| implied_median_age | Implied Median Age | Estimated median participant age based on TDFs |
| ees_w_accts | Participants with Accounts | Participants with balances |
| p25_participation_rate | Participation P25 | 25th percentile participation |
| p50_participation_rate | Participation P50 | Median participation |
| p75_participation_rate | Participation P75 | 75th percentile participation |
| participation_rate_rank | Participation Rank | Participation percentile rank |
| participation_rate | Participation Rate | Participation percentage |
Assets
8| asset_tiers | Asset Tier | Asset size tier |
| assets_eoy | Assets | Total plan assets at year end |
| avg_balance | Average Balance | Average participant balance |
| p25_avg_balance | Average Balance P25 | 25th percentile average balance |
| p50_avg_balance | Average Balance P50 | Median average balance |
| p75_avg_balance | Average Balance P75 | 75th percentile average balance |
| avg_balance_rank | Average Balance Rank | Average balance percentile rank |
| avg_balance_tier | Avg Balance Tier | Average balance tier |
Growth
2| assets_eoy_3yr_cagr | Asset Growth 3Y | Three-year AUM CAGR |
| active_ees_eoy_3yr_cagr | Participant Growth 3Y | Three-year participant CAGR |
Contributions
11| rank_cohort_level_contributions | Contribution Cohort | Cohort used for contribution ranking |
| ee_contrib_per_part | Employee Contribution | Employee contribution per participant |
| p25_ee_contribs | Employee Contribution P25 | 25th percentile employee contribution |
| p50_ee_contribs | Employee Contribution P50 | Median employee contribution |
| p75_ee_contribs | Employee Contribution P75 | 75th percentile employee contribution |
| ee_contribs_rank | Employee Contribution Rank | Employee contribution percentile rank |
| firm_contribs_per_avg_part | Employer Contribution | Employer contribution per participant |
| p25_firm_match | Employer Contribution P25 | 25th percentile employer contribution |
| p50_firm_match | Employer Contribution P50 | Median employer contribution |
| p75_firm_match | Employer Contribution P75 | 75th percentile employer contribution |
| firm_match_rank | Employer Contribution Rank | Employer contribution percentile rank |
Fees
5| p25_admin_papm | Admin Fee P25 | 25th percentile admin fee |
| p50_admin_papm | Admin Fee P50 | Median admin fee |
| p75_admin_papm | Admin Fee P75 | 75th percentile admin fee |
| admin_papm | Admin Fee PAPM | Admin fee per participant per month |
| papm_admin_fees_rank | Admin Fee Rank | Admin fee percentile rank |
Loans
11| loan_percentage_eoy | Assets on Loan % | Loan balance as percent of assets |
| p25_avg_assets_on_loan | Loan Balance P25 | 25th percentile loan balance |
| p50_avg_assets_on_loan | Loan Balance P50 | Median loan balance |
| p75_avg_assets_on_loan | Loan Balance P75 | 75th percentile loan balance |
| assets_on_loan_rank | Loan Balance Rank | Loan balance percentile rank |
| allows_loans | Loans Allowed | Plan permits loans |
| loans_per_active | Loans per Participant | Loans per active participant |
| p25_loans_per_active | Loans per Participant P25 | 25th percentile loans per participant |
| p50_loans_per_active | Loans per Participant P50 | Median loans per participant |
| p75_loans_per_active | Loans per Participant P75 | 75th percentile loans per participant |
| loans_per_active_rank | Loans per Participant Rank | Loan usage percentile rank |
Returns
15| irr | 1-Year IRR | One-year IRR |
| p25_irr | 1-Year IRR P25 | 25th percentile one-year return |
| p50_irr | 1-Year IRR P50 | Median one-year return |
| p75_irr | 1-Year IRR P75 | 75th percentile one-year return |
| irr_rank | 1-Year IRR Rank | One-year return percentile rank |
| irr_3yr | 3-Year IRR | Three-year IRR |
| p25_irr_3yr | 3-Year IRR P25 | 25th percentile three-year return |
| p50_irr_3yr | 3-Year IRR P50 | Median three-year return |
| p75_irr_3yr | 3-Year IRR P75 | 75th percentile three-year return |
| irr_3yr_rank | 3-Year IRR Rank | Three-year return percentile rank |
| irr_5yr | 5-Year IRR | Five-year IRR |
| p25_irr_5yr | 5-Year IRR P25 | 25th percentile five-year return |
| p50_irr_5yr | 5-Year IRR P50 | Median five-year return |
| p75_irr_5yr | 5-Year IRR P75 | 75th percentile five-year return |
| irr_5yr_rank | 5-Year IRR Rank | Five-year return percentile rank |
Investments
9| asset_coverage_pct | Asset Coverage % | Assets covered by schedules |
| dc_data_quality_flag | DC Data Quality Flag | Schedule D data quality flag |
| dominant_family | Dominant Fund Family | Dominant fund family |
| employer_sec_pct | Employer Stock % | Employer stock percentage |
| master_trust_count | Master Trust Count | Number of master trusts |
| menu_breadth_tier | Menu Breadth Tier | Fund menu breadth tier |
| passive_pct | Passive % | Passive asset percentage |
| tdf_index_series_count | TDF Index Series Count | Index target-date series count |
| tdf_peak_vintage_year | TDF Peak Vintage Year | Peak target-date vintage |
Plan Design
7| enrollment_type | Enrollment Type | Enrollment design type |
| retirement_plan_type | Plan Type | Retirement plan type |
| qdia | QDIA | Default investment option |
| safe_harbor_401_k | Safe Harbor 401(k) | Safe harbor plan flag |
| has_self_directed_option | Self-Directed Option | Self-directed brokerage option |
| is_union_plan | Union Plan | Collectively bargained plan flag |
| vesting_contribs | Vesting Schedule | Vesting schedule for match |
Compliance
4| new_auditor | Auditor Change | Auditor change signal |
| corrective_distrib | Corrective Distribution | Corrective distribution flag |
| corrective_ee_percent | Corrective Distribution % | Corrective distribution percentage |
| legal_risk | Legal Risk | Legal risk indicator |
Service Providers
4| accountant_firm_name | Auditor | Plan audit firm |
| main_advisor_name | Investment Advisor | Primary investment advisor |
| recordkeeper_name | Recordkeeper | Plan recordkeeping provider |
| recordkeeper_type | Recordkeeper Type | Recordkeeper classification |
Contact
6| address | Address | Street address |
| city | City | City |
| signer | Decision Maker | Plan signer name |
| phone_number | Phone | Sponsor phone number |
| signer_match | Returning Signer | Signer matches prior year |
| zip | ZIP | ZIP code |
ack_id
ACK ID
Unique filing identifier
ein
EIN
Employer identification number
filing_type
Filing Type
Filing category
firm
Firm
Plan sponsor name
history_tiers
History Tier
Years of plan history
sizes
Participant Size
Participant size tier
plan_name
Plan Name
Official plan name
pin
Plan PIN
Plan identifier
plan_history_start
Plan Since
Plan filing inception
plan_year
Plan Year
Plan year end
is_fortune_500
Fortune 500
Fortune 500 flag
industry
Industry
Detailed industry classification
industry_group
Industry Group
Mid-level industry grouping
naics
NAICS Code
Industry classification code
sector
Sector
Broad industry sector
cbsa
Metro Area
Metropolitan area
region
Region
Geographic region
state
State
State
active_ees_eoy
Active Participants
Active participants at year end
implied_median_age
Implied Median Age
Estimated median participant age based on TDFs
ees_w_accts
Participants with Accounts
Participants with balances
p25_participation_rate
Participation P25
25th percentile participation
p50_participation_rate
Participation P50
Median participation
p75_participation_rate
Participation P75
75th percentile participation
participation_rate_rank
Participation Rank
Participation percentile rank
participation_rate
Participation Rate
Participation percentage
asset_tiers
Asset Tier
Asset size tier
assets_eoy
Assets
Total plan assets at year end
avg_balance
Average Balance
Average participant balance
p25_avg_balance
Average Balance P25
25th percentile average balance
p50_avg_balance
Average Balance P50
Median average balance
p75_avg_balance
Average Balance P75
75th percentile average balance
avg_balance_rank
Average Balance Rank
Average balance percentile rank
avg_balance_tier
Avg Balance Tier
Average balance tier
assets_eoy_3yr_cagr
Asset Growth 3Y
Three-year AUM CAGR
active_ees_eoy_3yr_cagr
Participant Growth 3Y
Three-year participant CAGR
rank_cohort_level_contributions
Contribution Cohort
Cohort used for contribution ranking
ee_contrib_per_part
Employee Contribution
Employee contribution per participant
p25_ee_contribs
Employee Contribution P25
25th percentile employee contribution
p50_ee_contribs
Employee Contribution P50
Median employee contribution
p75_ee_contribs
Employee Contribution P75
75th percentile employee contribution
ee_contribs_rank
Employee Contribution Rank
Employee contribution percentile rank
firm_contribs_per_avg_part
Employer Contribution
Employer contribution per participant
p25_firm_match
Employer Contribution P25
25th percentile employer contribution
p50_firm_match
Employer Contribution P50
Median employer contribution
p75_firm_match
Employer Contribution P75
75th percentile employer contribution
firm_match_rank
Employer Contribution Rank
Employer contribution percentile rank
p25_admin_papm
Admin Fee P25
25th percentile admin fee
p50_admin_papm
Admin Fee P50
Median admin fee
p75_admin_papm
Admin Fee P75
75th percentile admin fee
admin_papm
Admin Fee PAPM
Admin fee per participant per month
papm_admin_fees_rank
Admin Fee Rank
Admin fee percentile rank
loan_percentage_eoy
Assets on Loan %
Loan balance as percent of assets
p25_avg_assets_on_loan
Loan Balance P25
25th percentile loan balance
p50_avg_assets_on_loan
Loan Balance P50
Median loan balance
p75_avg_assets_on_loan
Loan Balance P75
75th percentile loan balance
assets_on_loan_rank
Loan Balance Rank
Loan balance percentile rank
allows_loans
Loans Allowed
Plan permits loans
loans_per_active
Loans per Participant
Loans per active participant
p25_loans_per_active
Loans per Participant P25
25th percentile loans per participant
p50_loans_per_active
Loans per Participant P50
Median loans per participant
p75_loans_per_active
Loans per Participant P75
75th percentile loans per participant
loans_per_active_rank
Loans per Participant Rank
Loan usage percentile rank
irr
1-Year IRR
One-year IRR
p25_irr
1-Year IRR P25
25th percentile one-year return
p50_irr
1-Year IRR P50
Median one-year return
p75_irr
1-Year IRR P75
75th percentile one-year return
irr_rank
1-Year IRR Rank
One-year return percentile rank
irr_3yr
3-Year IRR
Three-year IRR
p25_irr_3yr
3-Year IRR P25
25th percentile three-year return
p50_irr_3yr
3-Year IRR P50
Median three-year return
p75_irr_3yr
3-Year IRR P75
75th percentile three-year return
irr_3yr_rank
3-Year IRR Rank
Three-year return percentile rank
irr_5yr
5-Year IRR
Five-year IRR
p25_irr_5yr
5-Year IRR P25
25th percentile five-year return
p50_irr_5yr
5-Year IRR P50
Median five-year return
p75_irr_5yr
5-Year IRR P75
75th percentile five-year return
irr_5yr_rank
5-Year IRR Rank
Five-year return percentile rank
asset_coverage_pct
Asset Coverage %
Assets covered by schedules
dc_data_quality_flag
DC Data Quality Flag
Schedule D data quality flag
dominant_family
Dominant Fund Family
Dominant fund family
employer_sec_pct
Employer Stock %
Employer stock percentage
master_trust_count
Master Trust Count
Number of master trusts
menu_breadth_tier
Menu Breadth Tier
Fund menu breadth tier
passive_pct
Passive %
Passive asset percentage
tdf_index_series_count
TDF Index Series Count
Index target-date series count
tdf_peak_vintage_year
TDF Peak Vintage Year
Peak target-date vintage
enrollment_type
Enrollment Type
Enrollment design type
retirement_plan_type
Plan Type
Retirement plan type
qdia
QDIA
Default investment option
safe_harbor_401_k
Safe Harbor 401(k)
Safe harbor plan flag
has_self_directed_option
Self-Directed Option
Self-directed brokerage option
is_union_plan
Union Plan
Collectively bargained plan flag
vesting_contribs
Vesting Schedule
Vesting schedule for match
new_auditor
Auditor Change
Auditor change signal
corrective_distrib
Corrective Distribution
Corrective distribution flag
corrective_ee_percent
Corrective Distribution %
Corrective distribution percentage
legal_risk
Legal Risk
Legal risk indicator
accountant_firm_name
Auditor
Plan audit firm
main_advisor_name
Investment Advisor
Primary investment advisor
recordkeeper_name
Recordkeeper
Plan recordkeeping provider
recordkeeper_type
Recordkeeper Type
Recordkeeper classification
address
Address
Street address
city
City
City
signer
Decision Maker
Plan signer name
phone_number
Phone
Sponsor phone number
signer_match
Returning Signer
Signer matches prior year
zip
ZIP
ZIP code