Filed June 24, 2016
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| Provider | Service type | Compensation |
|---|---|---|
Filed as: LOCKTON INVESTMENTS ADVISOR, LLC Service code 16 · EIN 20-8874282 | Consulting | $52,500 |
Service code 37 · EIN 04-2647786 | Loan Processing | $40,221 |
Service code 55 1250 S CAPITAL OF TEXAS HWY · WEST LAKE HILLS, TX 78746 | Other Commissions | $20,335 |
RR DONNELLEY1 year Service code 99 · EIN 36-1004130 | Other Fees | $18,772 |
AUSTIN PRINT SOLUTIONS1 year Service code 99 · EIN 56-1730689 | Other Fees | $13,311 |
COHNREZNICK LLP1 year Service code 10 · EIN 22-1478099 | Accounting | $11,000 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
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 | $6,896 | $23,734-70.9% | $69,182-90.0% | $65,292-89.4% |
| Participation rate | 45.5% | 33.1%+12.4pp | 55.1%-9.6pp | 72.4%-26.9pp |
| Annual return | 9.26% | 19.78%-10.5pp | -21.93%+31.2pp | 11.84%-2.6pp |
| Employer contribution / active EE | $324 | $294+10.2% | $1,206-73.1% | $2,302-85.9% |
| Participant deferral / active EE | $637 | $695-8.4% | $1,897-66.4% | $3,579-82.2% |
| Admin fee / account holder | $25 | $58-56.7% | $2,697-99.1% | $57-55.9% |