Filed December 12, 2018
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| Provider | Service type | Compensation |
|---|---|---|
RAYMOND JAMES FINANCIAL SERVICES1+ years Filed as: RAYMOND JAMES & ASSOCIATES, INC Service code 16 · EIN 59-1237041 | Consulting | $15,000 |
Service code 37 · EIN 04-2647786 | Loan Processing | $5,762 |
UBS FINANCIAL SERVICES INC1+ years Filed as: UBS FINANCIAL SERVICES Service code 61 · EIN 13-2638166 | Finders' fees / placement fees | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Plan reported corrective distributions (failed ADP/ACP testing).
The auditor declined to give an opinion. This is usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $30,213 | $47,078-35.8% | $100,671-70.0% | $55,191-45.3% |
| Participation rate | 29.9% | 58.0%-28.1pp | 70.7%-40.8pp | 69.2%-39.3pp |
| Annual return | -0.93% | 0.65%-1.6pp | 20.43%-21.4pp | 10.78%-11.7pp |
| Employer contribution / active EE | $298 | $1,065-72.1% | $4,012-92.6% | $1,899-84.3% |
| Participant deferral / active EE | $827 | $2,038-59.4% | $3,144-73.7% | $3,046-72.9% |
| Admin fee / account holder | $96 | $153-37.6% | $4,850-98.0% | $91+5.4% |