Filed May 14, 2020
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Participant communication; Float reve... | $101,045 |
SAGEVIEW ADVISORY GROUP, LLC2 years Filed as: SAGEVIEW ADVISORY GROUP LLC Service code 16 · EIN 33-0818667 | Consulting | $62,500 |
Filed as: CHARLES SCHWAB & CO INC Service code 33 · EIN 94-1737782 | Securities brokerage commissions and ... | $1,976 |
NATIONAL FINANCIAL SERVICES3+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $0 | $88,874-100.0% | $123,552-100.0% | $75,289-100.0% |
| Participation rate | 0.0% | 75.9%-75.9pp | 82.3%-82.3pp | 72.4%-72.4pp |
| Annual return | 23.21% | 4.22%+19.0pp | 119.20%-96.0pp | -0.04%+23.3pp |
| Employer contribution / active EE | $1,524 | $3,256-53.2% | $4,628-67.1% | $2,405-36.6% |
| Participant deferral / active EE | $4,916 | $6,174-20.4% | $6,426-23.5% | $3,739+31.5% |
| Admin fee / account holder | $0 | $95-100.0% | $9,285-100.0% | $102-100.0% |