Filed August 31, 2022
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| Provider | Service type | Compensation |
|---|---|---|
BROCK AND COMPANY5 years Filed as: BROCK ASSET MANAGEMENT LLC Service code 27 11811 N. TATUM BLVD · PHOENIX, AZ 85028 | Advisory (Plan) | $19,618 |
Service code 15 · EIN 16-1450952 | Recordkeeping | $16,284 |
CHARLES SCHWAB & CO., INC.5 years Service code 59 · EIN 94-1737782 | Shareholder Servicing | $0 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Annual investment return is in the bottom quintile of the peer cohort.
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 | $52,576 | $80,812-34.9% | $160,784-67.3% | $82,448-36.2% |
| Participation rate | 85.9% | 66.2%+19.7pp | 77.0%+8.9pp | 68.1%+17.8pp |
| Annual return | 12.53% | 100.59%-88.1pp | 1803.92%-1791.4pp | 41.64%-29.1pp |
| Employer contribution / active EE | $1,867 | $2,174-14.1% | $3,733-50.0% | $2,551-26.8% |
| Participant deferral / active EE | $6,859 | $4,335+58.2% | $6,293+9.0% | $4,139+65.7% |
| Admin fee / account holder | $312 | $7,695-95.9% | $9,717-96.8% | $7,234-95.7% |