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| Provider | Service type | Compensation |
|---|---|---|
Filed as: PRUDENTIAL INSURANCE CO. OF AMERICA Service code 28 · EIN 22-1211670 | Investment Management | $771,690 |
MD SASS1+ years Filed as: M.D. SASS ASSOCIATES, INC. Service code 28 · EIN 13-2704843 | Investment Management | $420,921 |
MANNING & NAPIER1+ years Filed as: MANNING & NAPIER ADVISORS, LLC Service code 28 · EIN 45-3328488 | Investment Management | $308,400 |
ATALANTA SOSNOFF1+ years Filed as: ATALANTA SOSNOFF CAPITAL, LLC Service code 28 · EIN 20-0461050 | Investment Management | $307,223 |
AMERICAN FUNDS1+ years Filed as: CAPITAL ONE BANK Service code 37 · EIN 72-0210640 | Loan Processing | $286,414 |
UBS FINANCIAL SERVICES INC1+ years Filed as: UBS FINANCIAL SERVICES, INC. Service code 28 · EIN 13-2638166 | Investment Management | $266,412 |
ULLICO1+ years Filed as: ULLICO INVESTMENT ADVISORS INC. Service code 28 · EIN 52-6435649 | Investment Management | $183,460 |
THE BANK OF NEW YORK MELLON1+ years Service code 19 · EIN 13-5160382 | Securities Custodian | $125,435 |
MORGAN STANLEY SMITH BARNEY1+ years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 27 · EIN 26-4310632 | Advisory (Plan) | $119,820 |
THE BANK OF NEW YORK MELLON1+ years Filed as: BNY MELLON CAPITAL MARKETS, LLC Service code 33 · EIN 23-2384977 | Securities brokerage; Securities brok... | $119,136 |
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Counterparties on defaulted loans (Part 1), defaulted leases (Part 2), and non-exempt prohibited transactions (Part 3). Presence of any row warrants fiduciary review.
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Annual investment return is in the bottom quintile of the peer cohort.
Retirees and beneficiaries make up 25% or more of total participants - indicates an ageing workforce or a frozen plan.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $0 | $57,821-100.0% | $209,859-100.0% | $57,821-100.0% |
| Participation rate | 0.0% | 5.5%-5.5pp | 42.7%-42.7pp | 5.5%-5.5pp |
| Annual return | -1.95% | 5.86%-7.8pp | 4.16%-6.1pp | 5.86%-7.8pp |
| Employer contribution / active EE | $12,299 | $10,137+21.3% | $29,966-59.0% | $10,137+21.3% |
| Participant deferral / active EE | $0 | $492-100.0% | $145-100.0% | $492-100.0% |
| Admin fee / account holder | $0 | $387-100.0% | $13,952-100.0% | $387-100.0% |