Filed October 3, 2014 (most recent of 5 filings on file)
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 |
|---|---|---|
TRANSAMERICA RETIREMENT SOLUTIONS10+ years Service code 12 · EIN 13-3689044 | Investment management; Finders' fees ... | $677,624 |
UBS FINANCIAL SERVICES INC4 years Filed as: UBS FINANCIAL SERVICES, INC Service code 16 · EIN 13-2638166 | Consulting | $118,527 |
MOSS ADAMS LLP4 years Filed as: MOSS ADAMS Service code 10 · EIN 91-0189318 | Accounting | $46,453 |
REGENCY INVESTMENT ADVISORS2 years Filed as: REGENCY INVESTMENT ADVISORS INC Service code 33 · EIN 77-0344391 | Securities brokerage; Securities brok... | $10,299 |
PATHWAYS ADVISORY GROUP INC2 years Service code 33 · EIN 20-8811410 | Securities brokerage; Securities brok... | $8,826 |
CHARLES SCHWAB & CO., INC.7 years Service code 33 · EIN 94-1737782 | Securities brokerage; Securities brok... | $526 |
NATIONAL FINANCIAL SERVICES10+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll 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 | $83,563 | $73,283+14.0% | $155,556-46.3% | $106,553-21.6% |
| Participation rate | 60.3% | 73.3%-13.0pp | 78.2%-17.9pp | 69.8%-9.5pp |
| Annual return | 14.88% | 15.76%-0.9pp | 64.84%-50.0pp | 17.37%-2.5pp |
| Employer contribution / active EE | $2,033 | $2,241-9.3% | $4,675-56.5% | $3,359-39.5% |
| Participant deferral / active EE | $5,036 | $4,567+10.3% | $5,631-10.6% | $5,562-9.5% |
| Admin fee / account holder | $107 | $56+91.8% | $15,885-99.3% | $80+34.6% |