Filed September 24, 2015
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.
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Claims processing; Distribution (12b-... | $83,119 |
CAPFINANCIAL PARTNERS LLC2 years Filed as: CAPFINANCIAL PARTNERS, LLC Service code 16 · EIN 26-0058143 | Consulting | $71,463 |
KPMG LLP1 year Filed as: KPMG Service code 10 · EIN 13-5565207 | Accounting | $35,800 |
PROSKAUER ROSE LLP3 years Service code 29 · EIN 13-1840454 | Legal | $27,387 |
CHARLES SCHWAB & CO., INC.8+ years Service code 33 · EIN 94-1737782 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES8+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
Employer contribution per participant is in the bottom quintile of the peer cohort.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
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 | $161,179 | $47,898+236.5% | $117,472+37.2% | $64,829+148.6% |
| Participation rate | 100.0% | 61.9%+38.1pp | 70.6%+29.4pp | 71.5%+28.5pp |
| Annual return | -12.29% | -15.54%+3.2pp | 29.77%-42.1pp | 32.85%-45.1pp |
| Employer contribution / active EE | $75 | $1,774-95.8% | $4,180-98.2% | $2,507-97.0% |
| Participant deferral / active EE | $10,884 | $3,151+245.5% | $4,072+167.3% | $4,312+152.4% |
| Admin fee / account holder | $179 | $132+35.8% | $5,646-96.8% | $188-4.7% |