Filed August 1, 2018
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| Provider | Service type | Compensation |
|---|---|---|
THE VANGUARD GROUP, INC.3 years Service code 15 · EIN 23-1945930 | Recordkeeping | $517,105 |
Filed as: ROCATON INV ADVISORS, LLC Service code 16 · EIN 04-3638035 | Consulting | $95,529 |
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).
Plan reported corrective distributions (failed ADP/ACP testing).
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 | $52,738 | $34,813+51.5% | $84,646-37.7% | $82,204-35.8% |
| Participation rate | 50.0% | 33.8%+16.1pp | 68.2%-18.3pp | 73.4%-23.4pp |
| Annual return | 31.05% | 44.87%-13.8pp | 258.85%-227.8pp | 26.31%+4.7pp |
| Employer contribution / active EE | $1,952 | $718+171.9% | $2,654-26.4% | $2,707-27.9% |
| Participant deferral / active EE | $3,642 | $1,334+173.0% | $3,901-6.6% | $4,246-14.2% |
| Admin fee / account holder | $100 | $107-6.1% | $4,915-98.0% | $76+32.7% |