Filed October 13, 2021
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| Provider | Service type | Compensation |
|---|---|---|
BOKF, NA7+ years Service code 19 ONE WILLIAMS CENTER TOWER · TULSA, OK 74172 | Securities Custodian | $341,873 |
DOWLING & YAHNKE LLC2 years Filed as: DOWLING & YAHNKE, LLC Service code 26 12265 EL CAMINO REAL STE 300 · SAN DIEGO, CA 92130 | Advisory (Participants) | $60,563 |
Filed as: VERDENCE CAPTIAL ADVISORS Service code 26 217 INTERNATIONAL CIRCLE · HUNT VALLEY, MD 21030 | Advisory (Participants) | $57,335 |
ROTHSCHILD ASSET MANAGEMENT7+ years Filed as: ROTHSCHILD INVESTMENT CORPORATION Service code 26 311 SOUTH WACKER DRIVE, SUITE 6500 · CHICAGO, IL 606066694 | Advisory (Participants) | $55,095 |
Filed as: CIBC PRIVATE WEALTH MANAGEMENT Service code 26 ONE SOUTH WACKER DRIVE, SUITE 3500 · CHICAGO, IL 60606 | Advisory (Participants) | $53,656 |
TUFTON CAPITAL MANAGEMENT6 years Service code 26 303 INTERNATIONAL CIRCLE SUITE 430 · HUNT VALLEY, MD 21030 | Advisory (Participants) | $21,483 |
KOVITZ INVESTMENT GROUP1 year Service code 26 115 SOUTH LASALLE STREET, 27TH FL · CHICAGO, IL 60603 | Advisory (Participants) | $21,070 |
FLAGSHIP HARBOR ADVISORS5 years Service code 26 346 COMMERCIAL STREET · BOSTON, MA 02109 | Advisory (Participants) | $12,144 |
COWEN & COMPANY LLC1 year Filed as: COWEN AND COMPANY LLC Service code 71 599 LEXINGTON AVENUE · NEW YORK, NY 10022 | Brokerage Fees | $0 |
Annual investment return is in the bottom quintile of the peer cohort.
Plan reported corrective distributions (failed ADP/ACP testing).
Assets per participant exceed $250,000 - top-decile high-value plan.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $363,492 | $120,450+201.8% | $159,495+127.9% | $93,010+290.8% |
| Participation rate | 87.1% | 78.0%+9.1pp | 82.8%+4.3pp | 73.9%+13.2pp |
| Annual return | 14.53% | 27.11%-12.6pp | 263.72%-249.2pp | 158.70%-144.2pp |
| Employer contribution / active EE | $12,991 | $3,526+268.5% | $4,831+168.9% | $2,705+380.2% |
| Participant deferral / active EE | $12,883 | $7,283+76.9% | $7,354+75.2% | $4,561+182.5% |
| Admin fee / account holder | $141 | $137+2.9% | $10,804-98.7% | $152-7.3% |