Filed December 16, 2013 (most recent of 2 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.
| Provider | Service type | Compensation |
|---|---|---|
CHARLES SCHWAB & CO., INC.2 years Filed as: SCHWAB RETIREMENT PLAN SERVICES Service code 15 · EIN 34-1479833 | Recordkeeping | $2,750,314 |
CHARLES SCHWAB & CO., INC.2 years Service code 33 · EIN 94-1737782 | Securities brokerage; Securities brok... | $319,890 |
CREATIVE PLANNING LLC5 years Service code 26 · EIN 43-1270780 | Advisory (Participants) | $130,966 |
MARINER LLC5 years Service code 26 · EIN 20-4553256 | Advisory (Participants) | $121,513 |
Filed as: ENVESTNET ASSET MANAGEMENT INC Service code 26 · EIN 36-4319587 | Advisory (Participants) | $112,782 |
MAIN STREET RESEARCH LLC5 years Service code 26 · EIN 68-0313978 | Advisory (Participants) | $62,562 |
PRIVATE OCEAN10+ years Service code 26 · EIN 20-5742052 | Advisory (Participants) | $55,519 |
Service code 26 · EIN 81-0698246 | Advisory (Participants) | $49,416 |
JMG FINANCIAL GROUP LTD7 years Service code 26 · EIN 36-3275370 | Advisory (Participants) | $48,419 |
COOKSON PEIRCE & CO INC4 years Service code 26 · EIN 25-1449860 | Advisory (Participants) | $38,673 |
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $207,434 | $152,104+36.4% | $184,256+12.6% | $106,553+94.7% |
| Participation rate | 98.6% | 85.9%+12.7pp | 86.8%+11.8pp | 69.8%+28.8pp |
| Annual return | 14.35% | 20.70%-6.4pp | 28.85%-14.5pp | 17.37%-3.0pp |
| Employer contribution / active EE | $6,786 | $5,326+27.4% | $6,427+5.6% | $3,359+102.0% |
| Participant deferral / active EE | $13,046 | $8,559+52.4% | $9,133+42.8% | $5,562+134.5% |
| Admin fee / account holder | $101 | $103-1.1% | $13,899-99.3% | $80+27.4% |