Filed January 6, 2017 (most recent of 2 filings on file)
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Participant loan processing; Float re... | $86,295 |
FUNDX INVESTMENT GROUP LLC3+ years Service code 33 · EIN 94-3271777 | Securities brokerage; Securities brok... | $23,627 |
Service code 29 · EIN 94-1463164 | Legal | $11,550 |
ARMANINO LLP3+ years Service code 10 · EIN 94-6214841 | Accounting | $10,048 |
CHARLES SCHWAB & CO., INC.3+ years Filed as: CHARLES SCHWAB & CO, INC. Service code 33 · EIN 94-1737782 | Securities brokerage; Securities brok... | $3,155 |
NATIONAL FINANCIAL SERVICES3+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $303,976 | $52,639+477.5% | $185,117+64.2% | $62,293+388.0% |
| Participation rate | 92.6% | 63.9%+28.8pp | 77.3%+15.4pp | 69.5%+23.1pp |
| Annual return | 15.44% | 19.57%-4.1pp | 40.50%-25.1pp | 28.90%-13.5pp |
| Employer contribution / active EE | $13,890 | $1,483+836.9% | $4,182+232.2% | $2,042+580.2% |
| Participant deferral / active EE | $6,118 | $3,097+97.5% | $5,045+21.3% | $3,169+93.1% |
| Admin fee / account holder | $654 | $374+75.0% | $8,159-92.0% | $479+36.4% |