Filed July 6, 2007 (most recent of 2 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.
| Provider | Service type | Compensation |
|---|---|---|
Service code 15 · EIN 42-1484983 | Recordkeeping | $83,740 |
Service code 15 · EIN 13-3689044 | Recordkeeping | $52,398 |
THE O.N. EQUITY SALES COMPANY1+ years Service code 27 · EIN 31-0742113 | Advisory (Plan) | $16,677 |
Filed as: TRANSAMERICA FINANCIAL LIFE INS. CO Service code 15 · EIN 36-6071399 | Recordkeeping | $15,849 |
MORGAN STANLEY SMITH BARNEY1+ years Filed as: MORGAN STANLEY Service code 27 · EIN 24-4310632 | Advisory (Plan) | $11,972 |
CORECAP ADVISORS1+ years Filed as: CORECAP ADVSIORS Service code 27 · EIN 23-2809463 | Advisory (Plan) | $6,661 |
Filed as: SWBC INVESTMENT SERVICES, LLC Service code 27 · EIN 74-2606915 | Advisory (Plan) | $5,751 |
LPL FINANCIAL1+ years Filed as: LPL FINANCIAL CORPORATION Service code 27 · EIN 04-3046611 | Advisory (Plan) | $2,185 |
MUTUAL SECURITIES INC1+ years Filed as: MUTUAL SECURITIES, INC. OF CALIF. Service code 49 · EIN 95-3703162 | Other Services | $2,021 |
Filed as: GALLAGHER FIDUCIARY ADVISORS LLC Service code 27 · EIN 36-4291971 | Advisory (Plan) | $1,886 |
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.
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $21,733 | $122,585-82.3% | $184,256-88.2% | $200,096-89.1% |
| Participation rate | 71.9% | 86.9%-15.0pp | 86.8%-14.9pp | 72.0%-0.1pp |
| Annual return | 389.70% | 144.12%+245.6pp | 28.85%+360.9pp | 34.26%+355.4pp |
| Employer contribution / active EE | $556 | $4,571-87.8% | $6,427-91.3% | $3,038-81.7% |
| Participant deferral / active EE | $1,065 | $7,972-86.6% | $9,133-88.3% | $5,090-79.1% |
| Admin fee / account holder | $83 | $120-31.2% | $13,899-99.4% | $269-69.3% |