Filed November 3, 2014
Total covered: 27 employees
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Sales loads (front end and deferred);... | $318,227 |
LOCKTON INVESTMENT ADVISORS, LLC5+ years Filed as: LOCKTON FINANCIAL ADVISORS, LLC Service code 16 · EIN 20-8874282 | Consulting | $53,000 |
BKD, LLP1 year Service code 10 · EIN 44-0160260 | Accounting | $18,200 |
CHARLES SCHWAB & CO., INC.4+ years Service code 33 · EIN 94-1737782 | Securities brokerage commissions and ... | $441 |
CHARLES SCHWAB & CO., INC.5+ years Filed as: CHARLES SCHWAB & CO, INC. Service code 33 | Securities brokerage; Securities brok... | $0 |
NATIONAL FINANCIAL SERVICES5+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
Annual investment return is in the bottom quintile of the peer cohort.
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 | $37,562 | $53,911-30.3% | $130,648-71.2% | $77,787-51.7% |
| Participation rate | 88.2% | 60.2%+28.0pp | 71.7%+16.5pp | 73.2%+15.0pp |
| Annual return | 18.35% | 21.93%-3.6pp | 1708.96%-1690.6pp | 32.57%-14.2pp |
| Employer contribution / active EE | $834 | $1,826-54.3% | $4,092-79.6% | $2,504-66.7% |
| Participant deferral / active EE | $1,727 | $2,288-24.5% | $3,603-52.1% | $3,967-56.5% |
| Admin fee / account holder | $118 | $129-8.0% | $5,464-97.8% | $100+18.3% |