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| Provider | Service type | Compensation |
|---|---|---|
Filed as: EMPOWER ANNUITY INSURANCE COMPANY O Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $37,170 |
ROTHSCHILD ASSET MANAGEMENT6 years Filed as: ROTHSCHILD INVESTMENT CORPORATION Service code 27 311 S WACKER DR #5900 · CHICAGO, IL 60606 | Advisory (Plan) | $18,805 |
Filed as: EMPOWER ADVISORY GROUP, LLC Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Investment Management | $3,688 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Annual investment return is in the bottom quintile of the peer cohort.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $51,111 | $50,458+1.3% | $160,009-68.1% | $64,819-21.1% |
| Participation rate | 33.8% | 68.0%-34.2pp | 78.0%-44.2pp | 71.5%-37.7pp |
| Annual return | -18.83% | -13.42%-5.4pp | 408.85%-427.7pp | 32.84%-51.7pp |
| Employer contribution / active EE | $979 | $1,722-43.1% | $4,225-76.8% | $2,507-60.9% |
| Participant deferral / active EE | $1,712 | $4,004-57.2% | $6,183-72.3% | $4,311-60.3% |
| Admin fee / account holder | $318 | $706-54.9% | $8,715-96.3% | $188+69.5% |