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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Shareholder servicing fees; Account m... | $33,031 |
Filed as: CHARLES SCHWAB & CO., INC Service code 33 · EIN 94-1737782 | Securities brokerage commissions and ... | $1,750 |
Service code 33 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES2+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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).
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 | $230,318 | $46,732+392.9% | $156,551+47.1% | $55,167+317.5% |
| Participation rate | 67.0% | 65.8%+1.2pp | 84.0%-17.0pp | 69.0%-2.0pp |
| Annual return | 3.83% | 17.72%-13.9pp | 32.23%-28.4pp | 169.23%-165.4pp |
| Employer contribution / active EE | $14,380 | $2,105+583.1% | $5,501+161.4% | $1,963+632.7% |
| Participant deferral / active EE | $3,488 | $2,204+58.3% | $4,871-28.4% | $3,054+14.2% |
| Admin fee / account holder | $273 | $418-34.9% | $13,028-97.9% | $504-45.9% |