Filed July 9, 2015
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 12 · EIN 13-3689044 | Recordkeeping fees; Shareholder servi... | $176,962 |
KOVACK SECURITIES INC2 years Filed as: KOVACK ADVISOR Service code 27 · EIN 20-0981614 | Advisory (Plan) | $56,519 |
FORVIS MAZARS, LLP1 year Filed as: MAZARS USA LLP Service code 10 · EIN 13-1459550 | Accounting | $35,000 |
HARTER SECREST & EMERY LLP2 years Service code 29 · EIN 16-0766172 | Legal | $10,466 |
CHARLES SCHWAB & CO., INC.2 years Service code 33 · EIN 94-1737782 | Securities brokerage commissions and ... | $469 |
MID ATLANTIC CAPITAL CORPORATION5+ years Service code 33 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES5+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
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).
Plan reported corrective distributions (failed ADP/ACP testing).
The auditor declined to give an opinion. This is usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $71,640 | $105,247-31.9% | $87,100-17.8% | $77,787-7.9% |
| Participation rate | 90.3% | 85.8%+4.5pp | 76.9%+13.5pp | 73.2%+17.1pp |
| Annual return | 18.57% | 24.52%-5.9pp | 28.19%-9.6pp | 32.57%-14.0pp |
| Employer contribution / active EE | $2,390 | $2,895-17.4% | $2,521-5.2% | $2,504-4.6% |
| Participant deferral / active EE | $5,102 | $5,060+0.8% | $4,049+26.0% | $3,967+28.6% |
| Admin fee / account holder | $162 | $104+55.1% | $7,497-97.8% | $100+62.0% |