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| Provider | Service type | Compensation |
|---|---|---|
Filed as: PRINCIPAL SECURITIES INC Service code 49 · EIN 42-0941553 | Other Services | $6,113 |
PRINCIPAL LIFE INSURANCE COMPANY5+ years Service code 13 · EIN 42-0127290 | Contract Administrator | $1,642 |
Service code 27 · EIN 95-2755361 | Advisory (Plan) | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
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 | $8,228 | $25,302-67.5% | $74,722-89.0% | $67,579-87.8% |
| Participation rate | 40.4% | 37.8%+2.6pp | 54.5%-14.0pp | 71.3%-30.9pp |
| Annual return | 20.14% | 10291.17%-10271.0pp | 753.11%-733.0pp | 378.56%-358.4pp |
| Employer contribution / active EE | $124 | $446-72.3% | $1,084-88.6% | $2,148-94.2% |
| Participant deferral / active EE | $290 | $954-69.6% | $1,963-85.2% | $3,539-91.8% |
| Admin fee / account holder | $10 | $108-90.6% | $3,335-99.7% | $142-92.9% |