Filed February 12, 2019
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| Provider | Service type | Compensation |
|---|---|---|
WELLS FARGO BANK, N.A.7+ years Service code 15 · EIN 94-1347393 | Recordkeeping | $168,532 |
Service code 13 · EIN 42-0127290 | Contract Administrator | $163,039 |
Service code 28 · EIN 02-6478915 | Investment Management | $50,919 |
CROWE LLP5 years Service code 10 · EIN 35-0921680 | Accounting | $38,825 |
Filed as: CAP STRAT Service code 26 ONE PARKVIEW PLAZA · OAKBROOK TERRACE, IL 60181 | Advisory (Participants) | $30,000 |
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).
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $49,245 | $69,238-28.9% | $185,854-73.5% | $101,555-51.5% |
| Participation rate | 52.6% | 73.5%-20.9pp | 81.7%-29.1pp | 74.5%-22.0pp |
| Annual return | 17.75% | 21.26%-3.5pp | 122.12%-104.4pp | 21.00%-3.3pp |
| Employer contribution / active EE | $814 | $2,104-61.3% | $5,169-84.3% | $2,972-72.6% |
| Participant deferral / active EE | $3,011 | $3,764-20.0% | $5,569-45.9% | $4,874-38.2% |
| Admin fee / account holder | $95 | $66+42.8% | $16,246-99.4% | $139-32.1% |