Filed April 10, 2017
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| Provider | Service type | Compensation |
|---|---|---|
STIFEL NICOLAUS & CO INC1 year Filed as: STIFEL NICOLAUS&CO INC Service code 27 · EIN 43-0538770 | Advisory (Plan) | $52,258 |
Service code 37 · EIN 04-2647786 | Loan Processing | $1,200 |
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).
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 | $50,229 | $48,471+3.6% | $182,540-72.5% | $67,579-25.7% |
| Participation rate | 40.4% | 67.2%-26.7pp | 78.0%-37.5pp | 71.3%-30.8pp |
| Annual return | 23.72% | 31.08%-7.4pp | 148.58%-124.9pp | 378.56%-354.8pp |
| Employer contribution / active EE | $1,160 | $1,461-20.6% | $4,076-71.5% | $2,148-46.0% |
| Participant deferral / active EE | $1,762 | $3,324-47.0% | $5,525-68.1% | $3,539-50.2% |
| Admin fee / account holder | $133 | $151-12.3% | $8,593-98.5% | $142-6.8% |