Filed December 12, 2016
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| Provider | Service type | Compensation |
|---|---|---|
NWK GROUP, INC.1 year Service code 27 · EIN 20-2154904 | Advisory (Plan) | $12,307 |
Service code 37 · EIN 04-2647786 | Loan Processing | $813 |
FIRST ALLIED SECURITIES INC2 years Service code 61 655 WEST BROADWAY 12TH FL · SAN DIEGO, CA 92101 | Finders' fees / placement fees | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll 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 | $106,177 | $50,385+110.7% | $75,501+40.6% | $62,293+70.4% |
| Participation rate | 58.7% | 67.7%-9.0pp | 72.4%-13.7pp | 69.5%-10.8pp |
| Annual return | 16.46% | 19.90%-3.4pp | 27.35%-10.9pp | 28.90%-12.4pp |
| Employer contribution / active EE | $1,972 | $1,537+28.3% | $2,352-16.1% | $2,042-3.4% |
| Participant deferral / active EE | $4,692 | $2,445+91.9% | $3,142+49.3% | $3,169+48.0% |
| Admin fee / account holder | $134 | $384-65.2% | $5,801-97.7% | $479-72.1% |