Filed April 10, 2017
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| Provider | Service type | Compensation |
|---|---|---|
STIFEL NICOLAUS & CO INC1 year Service code 27 · EIN 43-0538770 | Advisory (Plan) | $66,581 |
Service code 37 · EIN 04-2647786 | Loan Processing | $4,700 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Annual investment return is in the bottom quintile of the peer cohort.
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 | $38,480 | $42,810-10.1% | $169,452-77.3% | $55,725-30.9% |
| Participation rate | 39.7% | 64.7%-25.1pp | 77.8%-38.1pp | 70.9%-31.2pp |
| Annual return | -6.94% | -3.61%-3.3pp | 1.83%-8.8pp | 244.93%-251.9pp |
| Employer contribution / active EE | $1,140 | $1,402-18.7% | $4,157-72.6% | $2,078-45.2% |
| Participant deferral / active EE | $1,579 | $3,141-49.7% | $5,277-70.1% | $3,356-52.9% |
| Admin fee / account holder | $175 | $106+64.1% | $9,110-98.1% | $115+51.7% |