Filed July 20, 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.
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| Provider | Service type | Compensation |
|---|---|---|
STIFEL NICOLAUS & CO INC1 year Filed as: STIFEL NICOLOAUS & CO INC Service code 49 | Other Services | $36,516 |
PRINCIPAL LIFE INSURANCE COMPANY2+ years Service code 13 · EIN 42-0127290 | Contract Administrator | $21,296 |
NEWPORT GROUP, INC.2+ years Filed as: NEWPORT GROUP INC Service code 13 · EIN 27-2037969 | Contract Administrator | $17,476 |
BKD, LLP2+ years Filed as: DIXON HUGHES GOODMAN LLP Service code 10 · EIN 56-0747981 | Accounting | $16,721 |
STIFEL NICOLAUS & CO INC2+ years Service code 49 · EIN 43-0538770 | Other Services | $0 |
WILSHIRE ASSOCIATES INCORPORATED2+ years Service code 27 · EIN 95-2755361 | Advisory (Plan) | $0 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $71,856 | $37,044+94.0% | $71,796+0.1% | $57,658+24.6% |
| Participation rate | 87.8% | 61.1%+26.7pp | 69.1%+18.7pp | 70.2%+17.6pp |
| Annual return | 5.23% | 12.64%-7.4pp | 78.04%-72.8pp | 5.13%+0.1pp |
| Employer contribution / active EE | $704 | $720-2.2% | $1,924-63.4% | $1,974-64.3% |
| Participant deferral / active EE | $4,425 | $1,974+124.1% | $2,794+58.3% | $3,061+44.6% |
| Admin fee / account holder | $336 | $101+233.2% | $4,815-93.0% | $95+255.8% |