Filed November 24, 2020
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Finders' fees / placement fees; Claim... | $362,987 |
CHARLES SCHWAB & CO., INC.4 years Filed as: CHARLES SCHWAB & CO, INC. Service code 33 · EIN 94-1737782 | Securities brokerage commissions and ... | $1,001 |
NATIONAL FINANCIAL SERVICES5+ 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 | $140,576 | $204,517-31.3% | $69,480+102.3% | $77,775+80.7% |
| Participation rate | 61.3% | 74.6%-13.3pp | 74.6%-13.3pp | 73.2%-11.9pp |
| Annual return | 20.73% | 22.10%-1.4pp | 28.99%-8.3pp | 32.58%-11.8pp |
| Employer contribution / active EE | $5,001 | $3,548+41.0% | $2,780+79.9% | $2,504+99.7% |
| Participant deferral / active EE | $4,599 | $3,478+32.2% | $3,537+30.0% | $3,966+16.0% |
| Admin fee / account holder | $133 | $101+32.7% | $3,840-96.5% | $100+33.4% |