Filings through .
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| Provider | Service type | Compensation |
|---|---|---|
PRINCIPAL FINANCIAL GROUP4 years Filed as: PRINCIPAL LIFE INSURANCE COMPANY Service code 13 · EIN 42-0127290 | Contract Administrator | $74,958 |
MAI CAPITAL MANAGEMENT, LLC2 years Service code 27 · EIN 61-1495162 | Advisory (Plan) | $39,678 |
MORNINGSTAR3 years Filed as: MORNINGSTAR INVESTMENT MANAGEMENT L Service code 26 · EIN 36-4317381 | Advisory (Participants) | $0 |
14 funds of $250K or more; 29 lines in all, holding $17.3M of the plan's $17.8M. From the 2025 filing. Recordkeeper: Principal.
Target-date series: T. Rowe Price Retirement, mutual fund, 70% of fund dollars
| Fund | Dollars | % of funds% |
|---|---|---|
| T. Rowe Price Retirement T. Rowe Price · Mutual fund Target-date, 12 vintages | $12.1M | 70.1% |
| Principal Fixed Income Guaranteed Option Principal · Insurance contract Recordkeeper's own fund | $1.5M | 8.6% |
| Columbia Global Technology Growth Fund Ameriprise (Columbia Threadneedle) · Mutual fund | $352K | 2.0% |
| BlackRock Mid-Cap Value Fund BlackRock · Mutual fund | $330K | 1.9% |
| Fidelity Total Market Index Fund Fidelity (FMR) · Mutual fund Index | $287K | 1.7% |
| Principal Blue Chip Separate Account Principal · Separate account Recordkeeper's own fund | $283K | 1.6% |
| Fidelity Mid Cap Index Fund Fidelity (FMR) · Mutual fund Index | $252K | 1.5% |
| Victory RS Global Fund Victory Capital · Mutual fund | $237K | 1.4% |
| New Perspective Fund Capital Group · Mutual fund | $228K | 1.3% |
| Principal MidCap Growth Principal · Separate account Recordkeeper's own fund | $228K | 1.3% |
No lineup changes between the 2024 and 2025 filings.
Stable value and insurance contract lines, renames and class changes are not counted.
Changes of at least $250K and 0.1% of the plan between the 2024 and 2025 filings. Values are year-end holdings, not money moved.
Covers 71,097 large plans that list their funds in their annual filing. Updated Nov 3, 2026. Shares describe these plans, not the whole market.
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.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
The auditor signed off without reservation. This is the cleanest opinion.