Filed June 1, 2017
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Sales loads (front end and deferred);... | $865,398 |
NATIONAL FINANCIAL SERVICES6+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $43,922 | $89,497-50.9% | $70,098-37.3% | $78,044-43.7% |
| Participation rate | 98.3% | 79.9%+18.3pp | 70.5%+27.8pp | 74.4%+23.8pp |
| Annual return | -12.66% | -12.39%-0.3pp | 190.76%-203.4pp | 10.87%-23.5pp |
| Employer contribution / active EE | $2,381 | $3,152-24.4% | $2,560-7.0% | $3,125-23.8% |
| Participant deferral / active EE | $3,573 | $4,564-21.7% | $3,849-7.2% | $5,084-29.7% |
| Admin fee / account holder | $81 | $78+4.8% | $6,266-98.7% | $79+3.2% |