Filed April 25, 2023 (most recent of 5 filings on file)
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Shareholder servicing fees; Recordkee... | $219,233 |
CHARLES SCHWAB & CO., INC.1+ years Filed as: CHARLES SCHWAB & CO, INC. Service code 33 · EIN 94-1737782 | Securities brokerage commissions and ... | $670 |
CHARLES SCHWAB & CO., INC.1+ years Service code 33 | Securities brokerage; Securities brok... | $0 |
NATIONAL FINANCIAL SERVICES1+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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 | $27,403 | $37,039-26.0% | $147,618-81.4% | $59,188-53.7% |
| Participation rate | 57.4% | 63.8%-6.4pp | 84.6%-27.2pp | 69.4%-12.0pp |
| Annual return | 0.28% | 7.19%-6.9pp | 61.98%-61.7pp | 5.51%-5.2pp |
| Employer contribution / active EE | $1,356 | $1,353+0.2% | $5,564-75.6% | $2,098-35.4% |
| Participant deferral / active EE | $2,169 | $2,094+3.6% | $4,895-55.7% | $3,265-33.5% |
| Admin fee / account holder | $113 | $60+87.1% | $11,612-99.0% | $92+22.2% |