| Provider | Service type | Compensation |
|---|---|---|
SILICON VALLEY BANK2 years Service code 28 | Investment Management | $1,013,234 |
Filed as: HOTCHKIS & WILEY CAPITAL MGMG LLC Service code 28 · EIN 95-4871957 | Investment Management | $303,461 |
CHARLES SCHWAB & CO., INC.4 years Filed as: SCHWAB RETIREMENT PLAN SERVICES INC Service code 15 · EIN 34-1479833 | Recordkeeping | $156,043 |
Filed as: CHARLES SCHWAB CO., INC Service code 33 · EIN 94-1737782 | Shareholder servicing fees; Securitie... | $1,935 |
CHARLES SCHWAB & CO., INC.4 years Filed as: CHARLES SCHWAB & CO INC AND AFFILIA Service code 59 | Shareholder Servicing | $0 |
Counterparties on defaulted loans (Part 1), defaulted leases (Part 2), and non-exempt prohibited transactions (Part 3). Presence of any row warrants fiduciary review.
| Category | Counterparty | Relationship / Terms | Address | Amount |
|---|---|---|---|---|
| Part 3 Non-exempt transaction | SEE ATTACHMENT | SEE ATTACHMENT FEES IMPROPERLY PAID FROM PLAN ASSETS | — | — |
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
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 | $303,354 | $53,565+466.3% | $172,757+75.6% | $82,204+269.0% |
| Participation rate | 90.4% | 69.6%+20.7pp | 82.6%+7.7pp | 73.4%+17.0pp |
| Annual return | 31.97% | 31.42%+0.6pp | 803.06%-771.1pp | 26.31%+5.7pp |
| Employer contribution / active EE | $209 | $1,857-88.7% | $5,144-95.9% | $2,707-92.3% |
| Participant deferral / active EE | $15,894 | $3,006+428.8% | $5,198+205.8% | $4,246+274.4% |
| Admin fee / account holder | $123 | $61+101.0% | $13,956-99.1% | $76+63.2% |