Filed September 11, 2024
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Shareholder servicing fees; Finders' ... | $184,070 |
AMERICAN FUNDS2 years Filed as: ADVANCED CAPITAL GROUP Service code 16 50 S. SIXTH STREET · MINNEAPOLIS, MN 55402 | Consulting | $49,816 |
Service code 99 · EIN 39-1039417 | Other Fees | $32,817 |
NATIONAL FINANCIAL SERVICES6 years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
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).
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 | $105,076 | $113,568-7.5% | $67,560+55.5% | $200,096-47.5% |
| Participation rate | 92.0% | 73.3%+18.7pp | 72.9%+19.1pp | 72.0%+20.0pp |
| Annual return | 11.48% | 15.88%-4.4pp | 3533.50%-3522.0pp | 34.26%-22.8pp |
| Employer contribution / active EE | $2,761 | $3,409-19.0% | $2,737+0.9% | $3,038-9.1% |
| Participant deferral / active EE | $4,504 | $4,163+8.2% | $4,004+12.5% | $5,090-11.5% |
| Admin fee / account holder | $68 | $102-33.8% | $3,994-98.3% | $269-74.8% |