Filed December 16, 2019
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| Provider | Service type | Compensation |
|---|---|---|
Service code 49 · EIN 04-1590850 | Other Services | $243,006 |
Filed as: MERRILL LYNCH PIERCE, FENNER AND SM Service code 27 · EIN 13-5674085 | Advisory (Plan) | $81,066 |
AMERICAN REALTY ADVISORS1 year Filed as: AMERICAN BEACON Service code 52 · EIN 75-2401150 | Indirect Investment Fees | $0 |
AMERICAN CENTURY3 years Service code 52 · EIN 43-1567889 | Indirect Investment Fees | $0 |
AMERICAN FUNDS3 years Service code 52 · EIN 95-2817150 | Indirect Investment Fees | $0 |
Filed as: BNY MELLON Service code 52 · EIN 84-0512589 | Indirect Investment Fees | $0 |
COLUMBIA3 years Service code 52 · EIN 36-3376651 | Indirect Investment Fees | $0 |
DELAWARE INVESTMENTS3 years Service code 52 · EIN 23-2450217 | Indirect Investment Fees | $0 |
FEDERATED1 year Service code 52 · EIN 26-1900849 | Indirect Investment Fees | $0 |
INVESCO1 year Service code 52 · EIN 13-3867060 | Indirect Investment Fees | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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).
The auditor declined to give an opinion. This is usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $34,296 | $34,813-1.5% | $84,611-59.5% | $82,204-58.3% |
| Participation rate | 20.3% | 33.8%-13.6pp | 68.2%-48.0pp | 73.4%-53.1pp |
| Annual return | 31.23% | 44.87%-13.6pp | 258.74%-227.5pp | 26.31%+4.9pp |
| Employer contribution / active EE | $2 | $718-99.8% | $2,652-99.9% | $2,707-99.9% |
| Participant deferral / active EE | $1,766 | $1,334+32.4% | $3,899-54.7% | $4,246-58.4% |
| Admin fee / account holder | $169 | $107+58.1% | $4,912-96.6% | $76+123.4% |