Filed August 9, 2016 (most recent of 2 filings on file)
Total covered: 3 employees
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| Provider | Service type | Compensation |
|---|---|---|
Filed as: CAPFINANCIAL SECURITIES LLC Service code 26 · EIN 26-0058143 | Advisory (Participants) | $29,631 |
Service code 37 · EIN 04-2647786 | Loan Processing | $4,648 |
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $26,252 | $62,267-57.8% | $110,243-76.2% | $55,725-52.9% |
| Participation rate | 96.4% | 78.1%+18.3pp | 79.8%+16.6pp | 70.9%+25.5pp |
| Annual return | -4.50% | -1.07%-3.4pp | 314.76%-319.3pp | 244.93%-249.4pp |
| Employer contribution / active EE | $738 | $1,941-62.0% | $3,827-80.7% | $2,078-64.5% |
| Participant deferral / active EE | $2,047 | $3,516-41.8% | $4,672-56.2% | $3,356-39.0% |
| Admin fee / account holder | $106 | $121-12.0% | $8,548-98.8% | $115-7.6% |