Filed October 28, 2010 (most recent of 4 filings on file)
This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.
| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Claims processing; Shareholder servic... | $921,082 |
PIMCO FUNDS1 year Filed as: MOSAIC PACIFIC INVESTMENT ADVISOR Service code 33 · EIN 46-3499420 | Securities brokerage; Securities brok... | $308,567 |
MORGAN STANLEY SMITH BARNEY4+ years Filed as: MORGAN STANLEY Service code 27 · EIN 26-4310632 | Advisory (Plan) | $129,354 |
LEE FINANCIAL GROUP HAWAII INC4+ years Service code 33 · EIN 99-0263125 | Securities brokerage commissions and ... | $25,501 |
HENLON INVESTMENT MGMT1 year Service code 33 · EIN 22-3723068 | Securities brokerage; Securities brok... | $5,600 |
Filed as: CHARLES SCHWAB & CO., INC Service code 33 · EIN 94-1737782 | Securities brokerage; Securities brok... | $4,567 |
CHARLES SCHWAB & CO., INC.4+ years Service code 33 | Securities brokerage commissions and ... | $0 |
MID ATLANTIC CAPITAL CORPORATION4+ years Service code 33 · EIN 25-1409618 | Securities brokerage; Securities brok... | $0 |
NATIONAL FINANCIAL SERVICES4+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
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 | $83,391 | $44,007+89.5% | $154,110-45.9% | $68,904+21.0% |
| Participation rate | 98.0% | 70.0%+27.9pp | 83.0%+15.0pp | 74.1%+23.9pp |
| Annual return | -5.34% | 8.15%-13.5pp | 735.22%-740.6pp | 1.07%-6.4pp |
| Employer contribution / active EE | $2,915 | $1,732+68.3% | $5,298-45.0% | $2,540+14.8% |
| Participant deferral / active EE | $6,547 | $2,813+132.8% | $5,081+28.9% | $4,015+63.1% |
| Admin fee / account holder | $109 | $65+68.7% | $13,412-99.2% | $71+53.2% |