Filed January 5, 2017 (most recent of 6 filings on file)
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Shareholder servicing fees; Finders' ... | $147,825 |
CHARLES SCHWAB & CO., INC.4+ years Service code 33 · EIN 94-1737782 | Securities brokerage commissions and ... | $0 |
MID ATLANTIC CAPITAL CORPORATION4+ years Service code 33 · EIN 25-1409618 | Securities brokerage; Securities brok... | $0 |
NATIONAL FINANCIAL SERVICES4+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Annual investment return is in the bottom quintile of the peer cohort.
Plan reported corrective distributions (failed ADP/ACP testing).
The auditor declined to give an opinion. This is usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $118,503 | $64,311+84.3% | $110,238+7.5% | $75,289+57.4% |
| Participation rate | 92.7% | 79.3%+13.5pp | 79.8%+12.9pp | 72.4%+20.3pp |
| Annual return | -6.52% | -1.74%-4.8pp | 314.74%-321.3pp | -0.04%-6.5pp |
| Employer contribution / active EE | $5,983 | $2,404+148.9% | $3,826+56.4% | $2,405+148.8% |
| Participant deferral / active EE | $8,634 | $3,892+121.9% | $4,672+84.8% | $3,739+131.0% |
| Admin fee / account holder | $74 | $88-15.8% | $8,547-99.1% | $102-27.9% |