Filed March 14, 2022
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| Provider | Service type | Compensation |
|---|---|---|
Service code 28 · EIN 94-2832299 | Investment Management | $505,649 |
Service code 26 · EIN 27-4826969 | Advisory (Participants) | $5,599 |
CHARLES SCHWAB & CO., INC.4 years Service code 33 · EIN 94-1737782 | Float revenue; Securities brokerage c... | $1,286 |
Filed as: CHARLES SCHWAB & CO INC. AND AFFILI Service code 59 | Shareholder Servicing | $0 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Plan reported corrective distributions (failed ADP/ACP testing).
Assets per participant exceed $250,000 - top-decile high-value plan.
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 | $660,945 | $136,307+384.9% | $177,839+271.7% | $73,501+799.2% |
| Participation rate | 79.2% | 86.1%-6.9pp | 87.7%-8.6pp | 70.7%+8.5pp |
| Annual return | 14.47% | 18.68%-4.2pp | 48.33%-33.9pp | 28.51%-14.0pp |
| Employer contribution / active EE | $20,842 | $3,712+461.5% | $5,919+252.1% | $2,270+818.1% |
| Participant deferral / active EE | $12,243 | $5,829+110.0% | $7,714+58.7% | $3,740+227.3% |
| Admin fee / account holder | $2,062 | $596+246.3% | $12,432-83.4% | $513+301.9% |