Filed September 8, 1996
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 37 · EIN 04-2647786 | Loan Processing | $302,263 |
Filed as: ROCATON INVESTMENT ADVISERS, LLC Service code 27 · EIN 04-3638035 | Advisory (Plan) | $134,707 |
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 | $81,618 | $136,266-40.1% | $90,767-10.1% | $77,906+4.8% |
| Participation rate | 98.0% | 86.6%+11.3pp | 75.7%+22.3pp | 73.7%+24.3pp |
| Annual return | -17.12% | -11.32%-5.8pp | -12.16%-5.0pp | 12.16%-29.3pp |
| Employer contribution / active EE | $7,117 | $4,215+68.9% | $2,922+143.6% | $2,846+150.0% |
| Participant deferral / active EE | $10,196 | $6,353+60.5% | $4,565+123.4% | $4,805+112.2% |
| Admin fee / account holder | $113 | $399-71.6% | $8,445-98.7% | $133-14.6% |