Filed January 9, 2002
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 |
|---|---|---|
Filed as: MERRILL LYNCH, PIERCE, FENNER AND S Service code 15 · EIN 13-5674085 | Recordkeeping | $268,762 |
Filed as: ROCATON INVESTMENT ADVISOR, LLC Service code 27 · EIN 04-3638035 | Advisory (Plan) | $143,039 |
KELLEY DRYE & WARREN LLP3 years Service code 70 · EIN 13-5335107 | Consulting Fees | $63,626 |
Annual investment return is in the bottom quintile of the peer cohort.
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 | $229,403 | $104,631+119.2% | $98,462+133.0% | $80,187+186.1% |
| Participation rate | 99.5% | 87.5%+11.9pp | 75.2%+24.3pp | 72.9%+26.5pp |
| Annual return | 7.51% | 34.72%-27.2pp | 21.20%-13.7pp | 40.40%-32.9pp |
| Employer contribution / active EE | $16,102 | $4,517+256.5% | $3,049+428.1% | $2,980+440.4% |
| Participant deferral / active EE | $14,400 | $6,545+120.0% | $4,738+203.9% | $5,016+187.1% |
| Admin fee / account holder | $121 | $105+15.8% | $8,875-98.6% | $145-16.3% |