Filed December 24, 2004 (most recent of 6 filings on file)
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.
| Provider | Service type | Compensation |
|---|---|---|
LPL FINANCIAL2+ years Filed as: KMS FINANCIAL SERVICES INC Service code 26 · EIN 91-0850651 | Advisory (Participants) | $1,896,734 |
CHARLES SCHWAB & CO., INC.2+ years Service code 33 · EIN 94-1737782 | Securities brokerage commissions and ... | $1,422,877 |
SANDS CAPITAL MANAGEMENT, LLC2+ years Filed as: SANDS CAPITAL MANAGEMENT Service code 28 · EIN 20-2830751 | Investment Management | $1,376,997 |
ELK CREEK PARTNERS, LLC2+ years Filed as: ELK CREEK PARTNERS LLC Service code 28 · EIN 27-5463196 | Investment Management | $1,100,676 |
SNYDER CAPITAL MANAGEMENT2+ years Service code 28 · EIN 04-3370184 | Investment Management | $1,067,820 |
T ROWE PRICE RPS INC2+ years Filed as: T ROWE PRICE Service code 28 · EIN 52-0556948 | Investment Management | $952,081 |
CHARLES SCHWAB & CO., INC.2+ years Filed as: SCHWAB RETIREMENT PLAN SERVICES INC Service code 15 · EIN 34-1479833 | Recordkeeping | $817,313 |
NUVEEN2+ years Filed as: NWQ INVESTMENT MANAGEMENT COMPANY L Service code 28 · EIN 47-0875103 | Investment Management | $779,073 |
Filed as: TOTAL INVESTMENT MANAGEMENT IN Service code 26 · EIN 86-0912979 | Advisory (Participants) | $767,713 |
WESTWOOD TRUST2+ years Filed as: WESTWOOD MANAGEMENT CORP Service code 28 · EIN 13-3160186 | Investment Management | $731,579 |
Counterparties on defaulted loans (Part 1), defaulted leases (Part 2), and non-exempt prohibited transactions (Part 3). Presence of any row warrants fiduciary review.
| Category | Counterparty | Relationship / Terms | Address | Amount |
|---|---|---|---|---|
| Part 3 Non-exempt transaction | GALLIARD CAPITAL MANAGEMENT, INC. | INVESTMENT MANAGER POTENTIAL VIOLATION OF ERISA SECTION 406B1 INVOLVING AN EXTENSION OF CREDIT AS A RESULT OF BOND PURCHASE | — | $359K |
| Part 3 Non-exempt transaction | GALLIARD CAPITAL MANAGEMENT, INC. | INVESTMENT MANAGER POTENTIAL VIOLATION OF ERISA SECTION 406B1 INVOLVING AN EXTENSION OF CREDIT AS A RESULT OF BOND PURCHASE | — | $254K |
| Part 3 Non-exempt transaction | GALLIARD CAPITAL MANAGEMENT, INC. | INVESTMENT MANAGER POTENTIAL VIOLATION OF ERISA SECTION 406B1 INVOLVING AN EXTENSION OF CREDIT AS A RESULT OF BOND PURCHASE | — | $254K |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Plan reported corrective distributions (failed ADP/ACP testing).
Assets per participant exceed $250,000 - top-decile high-value plan.
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 | $539,607 | $93,789+475.3% | $67,836+695.5% | $329,111+64.0% |
| Participation rate | 99.5% | 65.9%+33.6pp | 68.8%+30.7pp | 67.9%+31.6pp |
| Annual return | 8.28% | 17.51%-9.2pp | 138.49%-130.2pp | 16.35%-8.1pp |
| Employer contribution / active EE | $31,338 | $3,924+698.5% | $2,404+1203.8% | $2,303+1260.4% |
| Participant deferral / active EE | $13,344 | $3,663+264.3% | $3,160+322.3% | $3,682+262.4% |
| Admin fee / account holder | $1,068 | $82+1204.5% | $4,621-76.9% | $754+41.7% |