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| Provider | Service type | Compensation |
|---|---|---|
PRINCIPAL FINANCIAL GROUP9 years Filed as: PRINCIPAL LIFE INSURANCE COMPANY Service code 13 · EIN 42-0127290 711 HIGH STREET · DESMOINES, IA 503920001 | Contract Administrator | $16,953 |
WELLS THOMAS, LLC9 years Service code 13 · EIN 26-0228640 469 NORTH MAIN STREET, UNIT 2 · BRANFORD, CT 06405 | Contract Administrator | $16,022 |
MORGAN STANLEY SMITH BARNEY5 years Filed as: MORGAN STANLEY Service code 49 | Other Services | $10,658 |
MORGAN STANLEY SMITH BARNEY9 years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 49 · EIN 26-4310632 1 NEW YORK PLZ FL 12 · NEW YORK, NY 100041901 | Other Services | $0 |
3 funds of $250K or more; 18 lines in all, holding $3.1M of the plan's $3.2M. From the 2025 filing. Recordkeeper: Principal.
Target-date series: Principal LifeTime, mutual fund, 74% of fund dollars
| Fund | Dollars | % of funds% |
|---|---|---|
| Principal LifeTime Principal · Mutual fund Target-date, 11 vintagesRecordkeeper's own fund | $2.3M | 74.2% |
| Principal MidCap Fund Principal · Mutual fund Recordkeeper's own fund | $180K | 5.8% |
| LargeCap Growth Fund I Institutional Class Principal · Mutual fund Recordkeeper's own fund | $174K | 5.6% |
| Principal Fixed Income Guaranteed Option Investment Contract Principal · Insurance contract Recordkeeper's own fund | $111K | 3.6% |
| LargeCap S&P 500 Index Fund Institutional Class Principal · Mutual fund IndexRecordkeeper's own fund | $91K | 2.9% |
| MFS Growth Fund MFS (Sun Life) · Mutual fund | $88K | 2.8% |
| Pgim Total Return Bond Fund Prudential (PGIM) · Mutual fund | $31K | 1.0% |
| Fidelity Advisor Capital & Income Fund Fidelity (FMR) · Mutual fund | $24K | 0.8% |
| SmallCap S&P 600 Index Fund Institutional Class Principal · Mutual fund IndexRecordkeeper's own fund | $21K | 0.7% |
| MidCap S&P 400 Index Fund Institutional Class Principal · Mutual fund IndexRecordkeeper's own fund | $18K | 0.6% |
Covers 71,410 large plans that list their funds in their annual filing. Updated Nov 6, 2026. Shares describe these plans, not the whole market.
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
The auditor signed off without reservation. This is the cleanest opinion.