Filed June 28, 1
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 |
|---|---|---|
Service code 12 · EIN 13-3689044 | Sales loads (front end and deferred);... | $257,165 |
CETERA ADVISOR NETWORKS LLC3 years Filed as: CETERA ADVISORS, LLC Service code 16 200 NORTH SEPULVEDA AVE · EL SEGUNDO, CA 90245 | Consulting | $32,000 |
BPM LLP2 years Filed as: BPM Service code 16 · EIN 81-4234542 | Consulting | $11,235 |
Service code 33 · EIN 25-1409618 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES3 years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
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 | $28,506 | $77,559-63.2% | $68,612-58.5% | $75,289-62.1% |
| Participation rate | 93.2% | 78.3%+14.9pp | 72.2%+21.0pp | 72.4%+20.8pp |
| Annual return | -3.51% | -1.01%-2.5pp | -4.63%+1.1pp | -0.04%-3.5pp |
| Employer contribution / active EE | $1,415 | $1,993-29.0% | $2,625-46.1% | $2,405-41.1% |
| Participant deferral / active EE | $2,723 | $3,128-12.9% | $3,311-17.8% | $3,739-27.2% |
| Admin fee / account holder | $131 | $90+45.1% | $5,131-97.4% | $102+28.2% |