Filed August 9, 2021 (most recent of 2 filings on file)
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 52 · EIN 04-1590850 | Indirect Investment Fees | $35,402 |
FIRST WESTERN TRUST BANK2+ years Service code 50 · EIN 27-0083757 | Direct Payment | $19,577 |
Service code 59 · EIN 94-1737782 | Shareholder Servicing | $297 |
Filed as: CHARLES SCHWAB INVESTMENT MANAGEMEN Service code 59 · EIN 94-3106735 | Shareholder Servicing | $0 |
Employer contribution per participant is in the bottom quintile of the peer cohort.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $161,202 | $74,089+117.6% | $133,975+20.3% | $55,167+192.2% |
| Participation rate | 71.2% | 84.3%-13.0pp | 87.1%-15.8pp | 69.0%+2.2pp |
| Annual return | 7.53% | 12.11%-4.6pp | 29.29%-21.8pp | 169.23%-161.7pp |
| Employer contribution / active EE | $392 | $3,064-87.2% | $5,211-92.5% | $1,963-80.0% |
| Participant deferral / active EE | $6,027 | $4,678+28.8% | $6,282-4.1% | $3,054+97.3% |
| Admin fee / account holder | $307 | $458-33.0% | $9,324-96.7% | $504-39.0% |