Filed April 25, 2011 (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 |
|---|---|---|
Service code 12 · EIN 13-3689044 | Shareholder servicing fees; Claims pr... | $878,014 |
Filed as: FIDELITY INSTITUTIONAL OPERATIONS C Service code 37 · EIN 04-2647786 | Loan Processing | $327,231 |
CROWN CAPITAL SECURITIES LP2 years Service code 27 · EIN 33-0837984 | Advisory (Plan) | $14,036 |
SIGNATURE ESTATE & INVESTMENT4+ years Filed as: SIGNATURE INVESTMENT ADVISORS Service code 27 · EIN 45-3791510 | Advisory (Plan) | $13,383 |
TIAA4+ years Filed as: TIAA - TEACHERS INSURANCE AND ANUIT Service code 64 · EIN 13-1624203 | Recordkeeping Fees | $10,010 |
Service code 33 · EIN 94-1737782 | Securities brokerage commissions and ... | $7,649 |
Service code 27 · EIN 27-3616371 | Advisory (Plan) | $6,263 |
CAPITAL ADVANTAGE INC3 years Service code 27 · EIN 94-3307876 | Advisory (Plan) | $1,598 |
Service code 27 · EIN 94-3106268 | Advisory (Plan) | $1,096 |
Filed as: PILLAR PACIFIC CAPITAL MANAGEMENT Service code 27 · EIN 94-3325356 | Advisory (Plan) | $159 |
Annual investment return is in the bottom quintile of the peer cohort.
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 | $114,918 | $46,969+144.7% | $154,110-25.4% | $73,367+56.6% |
| Participation rate | 93.0% | 72.4%+20.7pp | 83.0%+10.0pp | 69.5%+23.6pp |
| Annual return | -5.54% | 821.68%-827.2pp | 735.22%-740.8pp | 173.45%-179.0pp |
| Employer contribution / active EE | $8,640 | $1,723+401.4% | $5,298+63.1% | $2,499+245.8% |
| Participant deferral / active EE | $9,154 | $3,162+189.5% | $5,081+80.2% | $4,033+127.0% |
| Admin fee / account holder | $49 | $47+5.6% | $13,412-99.6% | $68-28.0% |