Filed November 24, 2020
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Claims processing; Sales loads (front... | $324,048 |
JACKSON LEWIS P.C.3 years Service code 29 · EIN 46-3862389 | Legal | $1,560 |
CHARLES SCHWAB & CO., INC.3 years Filed as: CHARLES SCHWAB & CO, INC. Service code 33 · EIN 94-1737782 | Securities brokerage; Securities brok... | $892 |
NATIONAL FINANCIAL SERVICES4+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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 | $119,676 | $87,173+37.3% | $59,899+99.8% | $75,289+59.0% |
| Participation rate | 56.8% | 74.5%-17.7pp | 74.7%-17.9pp | 72.4%-15.6pp |
| Annual return | -4.41% | -2.14%-2.3pp | 3.46%-7.9pp | -0.04%-4.4pp |
| Employer contribution / active EE | $4,300 | $3,473+23.8% | $2,723+57.9% | $2,405+78.8% |
| Participant deferral / active EE | $4,179 | $3,379+23.7% | $3,403+22.8% | $3,739+11.8% |
| Admin fee / account holder | $121 | $75+62.5% | $3,592-96.6% | $102+18.8% |