Filed May 4, 2018
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| Provider | Service type | Compensation |
|---|---|---|
CAMBRIDGE INVESTMENT RESEARCH4+ years Service code 16 1776 PLEASANT PLAIN RD · FAIRFIELD, IA 52556 | Consulting | $60,041 |
Service code 12 · EIN 13-3689044 | Participant communication; Sales load... | $20,341 |
CLS INVESTMENTS1 year Filed as: CLS INVESTMENTS LLC Service code 16 · EIN 32-0070947 | Consulting | $7,872 |
CHARLES SCHWAB & CO., INC.3 years Service code 33 · EIN 94-1737782 | Securities brokerage; Securities brok... | $229 |
CHARLES SCHWAB & CO., INC.3 years Filed as: CHARLES SCHWAB & CO, INC. Service code 33 | Securities brokerage; Securities brok... | $0 |
NATIONAL FINANCIAL SERVICES4+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
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 | $99,620 | $75,388+32.1% | $123,553-19.4% | $55,725+78.8% |
| Participation rate | 78.9% | 75.7%+3.2pp | 82.3%-3.4pp | 70.9%+8.0pp |
| Annual return | -3.90% | 4.48%-8.4pp | 119.21%-123.1pp | 244.93%-248.8pp |
| Employer contribution / active EE | $1,659 | $3,063-45.8% | $4,628-64.1% | $2,078-20.2% |
| Participant deferral / active EE | $6,225 | $5,651+10.2% | $6,426-3.1% | $3,356+85.5% |
| Admin fee / account holder | $163 | $120+36.0% | $9,284-98.2% | $115+41.4% |