Filed October 17, 2011 (most recent of 3 filings on file)
This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.
| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Shareholder servicing fees; Participa... | $4,242,772 |
ROCATON INVESTMENT ADVISORS, LLC4+ years Filed as: ROCATON INVESTMENT ADVISORS Service code 27 · EIN 04-3638035 | Advisory (Plan) | $206,385 |
ERNST & YOUNG LLP1 year Filed as: ERNST & YOUNG, LLP Service code 10 · EIN 11-2241326 | Accounting | $54,600 |
NATIONAL FINANCIAL SERVICES4+ years Service code 15 | Recordkeeping | $0 |
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $176,125 | $68,062+158.8% | $185,854-5.2% | $106,520+65.3% |
| Participation rate | 84.7% | 75.2%+9.5pp | 81.7%+3.0pp | 71.3%+13.4pp |
| Annual return | 14.24% | 18.20%-4.0pp | 122.12%-107.9pp | 19.28%-5.0pp |
| Employer contribution / active EE | $2,856 | $1,997+43.0% | $5,169-44.7% | $2,840+0.5% |
| Participant deferral / active EE | $7,494 | $3,990+87.8% | $5,569+34.6% | $4,948+51.5% |
| Admin fee / account holder | $81 | $53+53.1% | $16,246-99.5% | $75+8.4% |