Filed February 9, 2009
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 27 315 DEADERICK ST 5TH FL · NASHVILLE, TN 37238 | Advisory (Plan) | $94,887 |
Service code 64 11225 NORTH COMMUNITY HOUSE ROAD · CHARLOTTE, NC 28277 | Recordkeeping Fees | $74,640 |
Filed as: UBS FINANCIAL SERVICES INC. Service code 70 · EIN 13-2638166 1285 AVENUE OF THE AMERICAS · NEW YORK, NY 10019 | Consulting Fees | $60,781 |
Service code 15 · EIN 35-0145825 | Recordkeeping | $28,844 |
PRIVATE VISTA, LLC1 year Service code 71 · EIN 36-4060292 | Brokerage Fees | $4,177 |
TD AMERITRADE, INC.4+ years Service code 33 200 S. 108TH AVENUE · OMAHA, NE 68154 | Securities brokerage | $375 |
Employer contribution per participant is in the bottom quintile of the peer cohort.
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 | $22,166 | $45,382-51.2% | $154,108-85.6% | $75,289-70.6% |
| Participation rate | 88.9% | 65.9%+23.0pp | 83.0%+5.8pp | 72.4%+16.4pp |
| Annual return | -4.66% | -0.47%-4.2pp | 735.21%-739.9pp | -0.04%-4.6pp |
| Employer contribution / active EE | $0 | $1,533-100.0% | $5,298-100.0% | $2,405-100.0% |
| Participant deferral / active EE | $2,305 | $2,384-3.3% | $5,081-54.6% | $3,739-38.4% |
| Admin fee / account holder | $31 | $89-64.9% | $13,411-99.8% | $102-69.3% |