Filed May 11, 2020
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| Provider | Service type | Compensation |
|---|---|---|
CHARLES SCHWAB & CO., INC.2+ years Filed as: CHARLES SCHWAB & CO. INC Service code 33 · EIN 94-1737782 | Securities brokerage; Direct payment ... | $180 |
CHARLES SCHWAB & CO., INC.2+ years Filed as: CHARLES SCHWAB & CO INC AND AFFILIA Service code 59 | Shareholder Servicing | $0 |
CHARLES SCHWAB & CO., INC.2+ years Filed as: CHARLES SCHWAB BANK Service code 25 · EIN 42-1558009 | Directed Trustee | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Annual investment return is in the bottom quintile of the peer cohort.
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
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 | $52,936 | $61,616-14.1% | $105,754-49.9% | $55,167-4.0% |
| Participation rate | 63.0% | 72.9%-9.9pp | 78.9%-15.9pp | 69.0%-5.9pp |
| Annual return | -0.22% | 11.15%-11.4pp | 12.25%-12.5pp | 169.23%-169.5pp |
| Employer contribution / active EE | $0 | $3,043-100.0% | $4,079-100.0% | $1,963-100.0% |
| Participant deferral / active EE | $2,466 | $4,213-41.5% | $5,326-53.7% | $3,054-19.3% |
| Admin fee / account holder | $28 | $379-92.5% | $8,309-99.7% | $504-94.4% |