Filed June 15, 2022
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| Provider | Service type | Compensation |
|---|---|---|
UNION BANK & TRUST COMPANY10+ years Service code 12 · EIN 47-0321480 | Trustee (bank, trust company, or simi... | $141,540 |
DA DAVIDSON & CO6 years Filed as: D.A. DAVIDSON & CO. Service code 27 1225 L STREET, SUITE 200 · LINCOLN, NE 68508 | Advisory (Plan) | $36,000 |
MATRIX CLEARANCE AND SETTLEMENT10+ years Filed as: MATRIX CLEARENCE AND SETTLEMENT Service code 33 · EIN 13-4046432 | Sub-transfer agency fees; Securities ... | $0 |
Annual investment return 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).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $22,970 | $50,902-54.9% | $155,534-85.2% | $77,736-70.5% |
| Participation rate | 97.3% | 63.1%+34.2pp | 78.2%+19.0pp | 70.6%+26.7pp |
| Annual return | 9.45% | 34.85%-25.4pp | 64.92%-55.5pp | 31.26%-21.8pp |
| Employer contribution / active EE | $900 | $1,991-54.8% | $4,675-80.8% | $2,728-67.0% |
| Participant deferral / active EE | $3,735 | $2,824+32.3% | $5,630-33.7% | $4,651-19.7% |
| Admin fee / account holder | $155 | $437-64.5% | $15,900-99.0% | $433-64.2% |