Filed October 23, 2024 (most recent of 2 filings on file)
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Recordkeeping fees; Distribution (12b... | $219,804 |
JACOBS AND ASSOCIATES, LLC2+ years Service code 10 · EIN 46-1151899 | Accounting | $105,000 |
LOCKTON INVESTMENT ADVISORS, LLC2+ years Filed as: LOCKTON FINANCIAL ADVISORS LLC Service code 27 P.O. BOX 219153 · KANSAS CITY, MO 64121 | Advisory (Plan) | $92,500 |
KAUFMAN ROSSIN & CO2+ years Filed as: KAUFMAN ROSSIN CO Service code 27 · EIN 59-1818353 | Advisory (Plan) | $7,774 |
CHARLES SCHWAB & CO., INC.2+ years Service code 33 · EIN 94-1737782 | Securities brokerage commissions and ... | $3,858 |
NATIONAL FINANCIAL SERVICES2+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
Employer contribution per participant is in the bottom quintile of the peer cohort.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
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 | $22,870 | $329,111-93.1% | $171,082-86.6% | $329,111-93.1% |
| Participation rate | 16.1% | 67.9%-51.7pp | 76.7%-60.6pp | 67.9%-51.7pp |
| Annual return | 7.44% | 16.35%-8.9pp | 32.56%-25.1pp | 16.35%-8.9pp |
| Employer contribution / active EE | $156 | $2,303-93.2% | $4,002-96.1% | $2,303-93.2% |
| Participant deferral / active EE | $592 | $3,682-83.9% | $4,797-87.7% | $3,682-83.9% |
| Admin fee / account holder | $83 | $754-89.0% | $8,520-99.0% | $754-89.0% |