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| Provider | Service type | Compensation |
|---|---|---|
CHARLES SCHWAB & CO., INC.4+ years Filed as: SCHWAB RETIREMENT PLAN SERVICES INC Service code 15 · EIN 34-1479833 | Recordkeeping | $239,314 |
FISHER INVESTMENTS1 year Service code 26 · EIN 20-2480800 | Advisory (Participants) | $6,702 |
CHARLES SCHWAB & CO., INC.4+ years Filed as: CHARLES SCHWAB & CO., INC Service code 33 · EIN 94-1737782 | Securities brokerage; Float revenue; ... | $6,604 |
CHARLES SCHWAB & CO., INC.4+ years Filed as: CHARLES SCHWAB & CO INC AND AFFILIA Service code 59 | Shareholder Servicing | $0 |
CHARLES SCHWAB & CO., INC.2 years Filed as: CHARLES SCHWAB BANK Service code 25 · EIN 42-1558009 | Directed Trustee | $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).
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 | $89,506 | $56,443+58.6% | $83,831+6.8% | $55,725+60.6% |
| Participation rate | 98.3% | 72.0%+26.2pp | 76.1%+22.1pp | 70.9%+27.4pp |
| Annual return | -5.01% | 393.67%-398.7pp | 850.99%-856.0pp | 244.93%-249.9pp |
| Employer contribution / active EE | $5,410 | $2,682+101.7% | $3,631+49.0% | $2,078+160.3% |
| Participant deferral / active EE | $10,826 | $2,965+265.1% | $4,082+165.2% | $3,356+222.6% |
| Admin fee / account holder | $316 | $156+102.5% | $5,479-94.2% | $115+174.7% |