Filed November 3, 2014
Total covered: 27 employees
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Distribution (12b-1) fees; Sales load... | $242,543 |
LOCKTON INVESTMENT ADVISORS, LLC6+ years Filed as: LOCKTON FINANCIAL ADVISORS, LLC Service code 16 · EIN 20-8874282 | Consulting | $53,000 |
BKD, LLP2 years Service code 10 · EIN 44-0160260 | Accounting | $15,860 |
CHARLES SCHWAB & CO., INC.5+ years Service code 33 · EIN 94-1737782 | Securities brokerage; Securities brok... | $453 |
NATIONAL FINANCIAL SERVICES6+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Plan reported corrective distributions (failed ADP/ACP testing).
The auditor signed off without reservation. This is the cleanest opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $37,939 | $53,932-29.7% | $134,143-71.7% | $90,288-58.0% |
| Participation rate | 92.9% | 60.4%+32.5pp | 72.2%+20.7pp | 73.4%+19.5pp |
| Annual return | 11.94% | 23.16%-11.2pp | 36.33%-24.4pp | 53.97%-42.0pp |
| Employer contribution / active EE | $0 | $1,611-100.0% | $3,704-100.0% | $2,524-100.0% |
| Participant deferral / active EE | $1,824 | $2,432-25.0% | $3,499-47.9% | $4,232-56.9% |
| Admin fee / account holder | $100 | $104-3.1% | $6,684-98.5% | $114-12.0% |