Filed January 3, 2020
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| Provider | Service type | Compensation |
|---|---|---|
RBC WEALTH MANAGEMENT9 years Filed as: RBC CAPITAL MARKETS CORP LLC Service code 26 · EIN 41-1416330 | Advisory (Participants) | $54,145 |
NATIONWIDE11+ years Service code 19 ONE NATIONWIDE PLAZA · COLUMBUS, OH 43215 | Securities Custodian | $30,754 |
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).
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 | $154,977 | $43,730+254.4% | $66,674+132.4% | $64,097+141.8% |
| Participation rate | 88.6% | 50.7%+37.9pp | 73.7%+14.9pp | 55.2%+33.4pp |
| Annual return | 16.23% | 53.62%-37.4pp | 321.24%-305.0pp | 34.64%-18.4pp |
| Employer contribution / active EE | $2,573 | $1,673+53.8% | $2,620-1.8% | $1,891+36.0% |
| Participant deferral / active EE | $10,376 | $2,122+389.0% | $4,084+154.1% | $3,080+236.9% |
| Admin fee / account holder | $427 | $2,708-84.2% | $5,098-91.6% | $3,454-87.7% |