Filed July 26, 2024
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| Provider | Service type | Compensation |
|---|---|---|
Filed as: ROCATON INVESTMENT ADVISORS LLC Service code 99 · EIN 04-3638035 | Other Fees | $89,531 |
Service code 99 · EIN 26-1644826 | Other Fees | $80,935 |
THE WAGNER LAW GROUP1 year Service code 29 · EIN 04-3323315 | Legal | $47,815 |
FIDUCIENT ADVISORS LLC1 year Service code 99 · EIN 36-4001764 | Other Fees | $17,708 |
SAMET & COMPANY PC1 year Filed as: SAMET AND COMPANY PC Service code 10 · EIN 04-3027605 | Accounting | $9,300 |
Service code 26 · EIN 71-0294708 | Advisory (Participants) | $8,108 |
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).
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $106,284 | $95,438+11.4% | $135,998-21.8% | $74,478+42.7% |
| Participation rate | 94.5% | 78.2%+16.2pp | 81.9%+12.5pp | 70.7%+23.7pp |
| Annual return | 17.05% | 32.61%-15.6pp | 68.37%-51.3pp | 34.37%-17.3pp |
| Employer contribution / active EE | $3,679 | $3,878-5.1% | $4,860-24.3% | $2,637+39.5% |
| Participant deferral / active EE | $9,426 | $7,790+21.0% | $7,761+21.5% | $4,530+108.1% |
| Admin fee / account holder | $272 | $259+5.1% | $10,769-97.5% | $347-21.6% |