Filed December 28, 2006
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.
| Provider | Service type | Compensation |
|---|---|---|
CHARLES SCHWAB & CO., INC.6+ years Filed as: SCHWAB RETIREMENT PLAN SERVICES INC Service code 15 · EIN 34-1479833 | Recordkeeping | $611,087 |
CAPFINANCIAL PARTNERS LLC5 years Service code 28 · EIN 26-0058143 | Investment Management | $206,000 |
WARREN AVERETT, LLC2 years Service code 10 · EIN 45-4084437 | Accounting | $21,500 |
ROSS PRINTING5 years Service code 28 · EIN 57-1077191 | Investment Management | $13,835 |
FISHER INVESTMENTS2 years Service code 26 · EIN 20-2480800 | Advisory (Participants) | $9,101 |
ARK FINANCIAL ADVISORS LLC2 years Service code 26 · EIN 36-4858171 | Advisory (Participants) | $5,378 |
CHARLES SCHWAB & CO., INC.6+ years Service code 33 · EIN 94-1737782 | Direct payment from the plan; Shareho... | $1,944 |
CHARLES SCHWAB & CO., INC.2 years Filed as: CHARLES SCHWAB & CO. INC. AND AFFIL Service code 59 | Shareholder Servicing | $0 |
Employer contribution per participant 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).
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 | $94,508 | $84,517+11.8% | $133,982-29.5% | $93,223+1.4% |
| Participation rate | 88.2% | 81.9%+6.3pp | 79.8%+8.4pp | 74.9%+13.3pp |
| Annual return | 28.23% | 16.66%+11.6pp | 45.10%-16.9pp | 19.29%+8.9pp |
| Employer contribution / active EE | $396 | $2,296-82.7% | $3,919-89.9% | $2,680-85.2% |
| Participant deferral / active EE | $4,406 | $4,286+2.8% | $5,047-12.7% | $4,563-3.4% |
| Admin fee / account holder | $80 | $66+21.5% | $8,930-99.1% | $79+1.5% |