Filed April 4, 2018 (most recent of 3 filings on file)
Sign up free to preview peer percentile detail
Free accounts unlock saves, downloads, and 3-year history.
Sign up free to preview 10-year trajectory
Free accounts unlock saves, downloads, and 3-year history.
| Provider | Service type | Compensation |
|---|---|---|
NATIONWIDE1 year Filed as: NATIONWIDE INSURANCE Service code 15 · EIN 31-4156830 | Recordkeeping | $96,902 |
Filed as: UBS FINANCIAL SERVICES Service code 27 · EIN 13-2638166 | Advisory (Plan) | $56,755 |
Filed as: LEAFHOUSE FINANCIAL ADVISORS Service code 27 · EIN 26-4311657 | Advisory (Plan) | $53,415 |
WELLS FARGO BANK, N.A.1 year Filed as: WELLS FARGO ADVISORS FIN NET Service code 27 ADVISORY BILLING H0006-08R · SAINT LOUIS, MO 63103 | Advisory (Plan) | $26,375 |
Service code 12 · EIN 13-3689044 | Participant communication; Distributi... | $25,542 |
NEAL FINANCIAL GROUP, LP1 year Filed as: NEAL KAYE Service code 27 201 ST CHARLES AVE · NEW ORLEANS, LA 70170 | Advisory (Plan) | $13,741 |
ERISA SMART1 year Service code 16 2419 E HARBOR BLVD · VENTURA, CA 93001 | Consulting | $8,792 |
Service code 10 1801 WEST OLYMPIC BLVD · PASADENA, CA 91199 | Accounting | $6,613 |
NATIONAL FINANCIAL SERVICES3+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Annual investment return is in the bottom quintile of the peer cohort.
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 | $78,324 | $44,989+74.1% | $170,435-54.0% | $77,958+0.5% |
| Participation rate | 66.7% | 64.6%+2.1pp | 83.6%-16.9pp | 71.6%-4.9pp |
| Annual return | 13.22% | 19.61%-6.4pp | 205.94%-192.7pp | 20.87%-7.6pp |
| Employer contribution / active EE | $749 | $1,466-48.9% | $5,432-86.2% | $2,310-67.6% |
| Participant deferral / active EE | $4,024 | $2,208+82.3% | $4,939-18.5% | $3,537+13.8% |
| Admin fee / account holder | $139 | $69+101.8% | $13,881-99.0% | $97+42.9% |