Filed December 12, 2014
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 |
|---|---|---|
Filed as: SAGEVIEW ADVISORY GROUP - INVESTMEN Service code 26 1920 MAIN STREET · IRVINE, CA 92614 | Advisory (Participants) | $854,946 |
Filed as: EMPOWER ADVISORY GROUP, LLC Service code 26 · EIN 84-1532243 | Advisory (Participants) | $684,374 |
Filed as: EMPOWER ANNUITY INSURANCE COMPANY Service code 15 · EIN 84-0467907 | Recordkeeping | $384,058 |
CREATIVE PLANNING LLC2 years Service code 16 5454 WEST 110TH STREET · OVERLAND PARK, KS 66221 | Consulting | $90,000 |
BAKER TILLY US, LLP3 years Filed as: BAKER TILLY US LLP Service code 19 4807 INNOVATE LN · MADISON, WI 53718 | Securities Custodian | $79,341 |
Service code 16 · EIN 34-1820650 | Consulting | $5,100 |
Filed as: CHARLES SCHWAB & CO., Service code 26 · EIN 94-1737782 | Advisory (Participants) | $271 |
CHARLES SCHWAB & CO., INC.4 years Service code 59 | Shareholder Servicing | $0 |
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 | $60,119 | $68,330-12.0% | $149,740-59.9% | $96,393-37.6% |
| Participation rate | 55.5% | 74.6%-19.1pp | 78.8%-23.3pp | 71.3%-15.8pp |
| Annual return | 18.76% | 29.64%-10.9pp | 134.51%-115.8pp | 22.88%-4.1pp |
| Employer contribution / active EE | $1,364 | $2,139-36.2% | $4,821-71.7% | $3,239-57.9% |
| Participant deferral / active EE | $3,483 | $4,422-21.2% | $5,683-38.7% | $5,455-36.1% |
| Admin fee / account holder | $83 | $52+59.6% | $13,222-99.4% | $74+12.3% |