Filed October 2, 2019
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| Provider | Service type | Compensation |
|---|---|---|
FIDELITY INVESTMENTS INSTITUTIONAL10+ years Service code 37 · EIN 04-2647786 | Loan Processing | $36,536 |
Filed as: ROCATON INVESTMENT ADVISORS LLC Service code 27 · EIN 04-3638035 | Advisory (Plan) | $33,000 |
COULTER & JUSTUS5 years Filed as: COULTER JUSTUS PC Service code 10 · EIN 62-1532536 | Accounting | $12,000 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $58,358 | $79,171-26.3% | $102,423-43.0% | $74,495-21.7% |
| Participation rate | 88.2% | 74.8%+13.4pp | 76.5%+11.7pp | 67.2%+21.0pp |
| Annual return | 20.15% | 54.93%-34.8pp | 29.32%-9.2pp | 1364.94%-1344.8pp |
| Employer contribution / active EE | $3,445 | $2,362+45.8% | $3,023+13.9% | $2,623+31.3% |
| Participant deferral / active EE | $8,471 | $4,415+91.9% | $5,053+67.6% | $4,346+94.9% |
| Admin fee / account holder | $305 | $2,001-84.7% | $9,451-96.8% | $1,942-84.3% |