Filed April 18, 2016 (most recent of 8 filings on file)
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 |
|---|---|---|
Filed as: EMPOWER ANNUITY INS CO OF AMERICA Service code 64 · EIN 84-0467907 | Recordkeeping Fees | $297,562 |
Filed as: PRINCIPAL SECURITIES, INC. Service code 27 · EIN 42-0941553 | Advisory (Plan) | $80,613 |
Filed as: COMMONWEALTH EQUITY SERVICES LLC Service code 27 · EIN 04-2675571 | Advisory (Plan) | $29,297 |
Filed as: EMPOWER ADVISORY GROUP, LLC Service code 28 · EIN 82-1796570 | Investment Management | $2,275 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
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 signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $36,955 | $84,572-56.3% | $68,808-46.3% | $78,104-52.7% |
| Participation rate | 30.0% | 73.3%-43.3pp | 69.0%-39.0pp | 74.5%-44.5pp |
| Annual return | -5.75% | -13.88%+8.1pp | -6.37%+0.6pp | 10.90%-16.7pp |
| Employer contribution / active EE | $407 | $3,358-87.9% | $2,656-84.7% | $3,128-87.0% |
| Participant deferral / active EE | $1,285 | $4,666-72.5% | $3,942-67.4% | $5,089-74.7% |
| Admin fee / account holder | $148 | $90+65.5% | $4,936-97.0% | $79+88.0% |