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 | Shareholder servicing fees; Participa... | $712,824 |
PIMCO FUNDS2 years Filed as: MOSAIC PACIFIC INVESTMENT ADVISOR Service code 33 · EIN 46-3499420 | Securities brokerage; Securities brok... | $417,920 |
MORGAN STANLEY SMITH BARNEY5+ years Filed as: MORGAN STANLEY Service code 27 · EIN 26-4310632 | Advisory (Plan) | $131,875 |
LEE FINANCIAL GROUP HAWAII INC5+ years Service code 33 · EIN 99-0263125 | Securities brokerage commissions and ... | $22,682 |
CHARLES SCHWAB & CO., INC.2 years Filed as: CHARLES SCHWAB & CO., INC Service code 33 · EIN 94-1737782 | Securities brokerage; Securities brok... | $3,823 |
CHARLES SCHWAB & CO., INC.5+ years Service code 33 | Securities brokerage; Securities brok... | $0 |
MID ATLANTIC CAPITAL CORPORATION5+ years Service code 33 · EIN 25-1409618 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES5+ 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 | $102,477 | $53,565+91.3% | $172,757-40.7% | $82,204+24.7% |
| Participation rate | 98.7% | 69.6%+29.0pp | 82.6%+16.0pp | 73.4%+25.3pp |
| Annual return | 22.34% | 31.42%-9.1pp | 803.06%-780.7pp | 26.31%-4.0pp |
| Employer contribution / active EE | $2,980 | $1,857+60.5% | $5,144-42.1% | $2,707+10.1% |
| Participant deferral / active EE | $6,743 | $3,006+124.3% | $5,198+29.7% | $4,246+58.8% |
| Admin fee / account holder | $86 | $61+40.1% | $13,956-99.4% | $76+13.8% |