Filed December 29, 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 64 · EIN 84-0467907 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $40,592 |
Filed as: CAPFINANCIAL SECURITIES, LLC Service code 55 | Other Commissions | $24,922 |
NOVA 401(K) ASSOCIATES2+ years Service code 13 · EIN 20-1181458 10777 NW FREEWAY · HOUSTON, TX 77092 | Contract Administrator | $10,340 |
CAPFINANCIAL PARTNERS LLC2+ years Filed as: CAPFINANCIAL SECURITIES LLC Service code 55 4208 SIX FORKS ROAD · RALEIGH, NC 27609 | Other Commissions | $0 |
Annual investment return is in the bottom quintile of the peer cohort.
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 | $19,669 | $63,905-69.2% | $74,184-73.5% | $57,658-65.9% |
| Participation rate | 87.8% | 79.8%+8.0pp | 76.6%+11.2pp | 70.2%+17.6pp |
| Annual return | 5.59% | 60.60%-55.0pp | 17.74%-12.1pp | 5.13%+0.5pp |
| Employer contribution / active EE | $565 | $1,840-69.3% | $2,370-76.2% | $1,974-71.4% |
| Participant deferral / active EE | $1,928 | $3,448-44.1% | $3,550-45.7% | $3,061-37.0% |
| Admin fee / account holder | $105 | $91+15.2% | $5,586-98.1% | $95+11.0% |