Filed June 4, 2013 (most recent of 5 filings on file)
This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Shareholder servicing fees; Participa... | $245,801 |
Filed as: RAYMOND JAMES & ASSOCIATES Service code 27 · EIN 59-1237041 | Advisory (Plan) | $26,593 |
Filed as: CHARLES SCHWAB & CO, INC. Service code 33 · EIN 94-1737782 | Securities brokerage; Securities brok... | $0 |
Service code 33 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES9+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $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 | $58,548 | $50,150+16.7% | $149,723-60.9% | $80,169-27.0% |
| Participation rate | 98.9% | 64.3%+34.6pp | 78.8%+20.1pp | 72.9%+25.9pp |
| Annual return | 14.53% | 29.80%-15.3pp | 134.50%-120.0pp | 40.39%-25.9pp |
| Employer contribution / active EE | $867 | $1,868-53.6% | $4,821-82.0% | $2,978-70.9% |
| Participant deferral / active EE | $3,791 | $3,195+18.7% | $5,682-33.3% | $5,016-24.4% |
| Admin fee / account holder | $108 | $153-29.1% | $13,215-99.2% | $145-25.3% |