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| Provider | Service type | Compensation |
|---|---|---|
Service code 15 · EIN 16-1450952 | Recordkeeping | $114,853 |
Filed as: PRINCIPAL FINANCIAL GROUP Service code 15 · EIN 94-3149038 | Recordkeeping | $41,662 |
ESI1 year Filed as: ESI EQUITY Service code 10 · EIN 39-1763393 | Accounting | $20,800 |
WITHUMSMITH+BROWN, PC1 year Filed as: RUBIN BROWN LLP Service code 10 · EIN 43-0765316 | Accounting | $14,950 |
Filed as: CHARLES SCHWAB BANK Service code 19 · EIN 42-1558009 | Securities Custodian | $11,253 |
Service code 59 · EIN 94-1737782 | Shareholder Servicing | $0 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Annual investment return 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 | $118,040 | $88,122+34.0% | $141,191-16.4% | $67,579+74.7% |
| Participation rate | 92.1% | 76.5%+15.7pp | 82.5%+9.7pp | 71.3%+20.9pp |
| Annual return | 20.71% | 75.40%-54.7pp | 71.41%-50.7pp | 378.56%-357.8pp |
| Employer contribution / active EE | $7,698 | $3,224+138.7% | $4,736+62.5% | $2,148+258.4% |
| Participant deferral / active EE | $6,188 | $5,958+3.9% | $6,710-7.8% | $3,539+74.9% |
| Admin fee / account holder | $372 | $131+184.4% | $10,264-96.4% | $142+161.6% |