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| Provider | Service type | Compensation |
|---|---|---|
ROCKEFELLER FINANCIAL LLC2 years Service code 27 · EIN 82-3226180 | Advisory (Plan) | $30,032 |
Filed as: EMPOWER ANNUITY INSURANCE COMPANY Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $12,787 |
THE BENEFIT PRACTICE2 years Service code 13 · EIN 13-4144565 1055 WASHINGTON BLVD · STAMFORD, CT 06901 | Contract Administrator | $7,853 |
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 | $49,259 | $56,438-12.7% | $76,902-35.9% | $71,529-31.1% |
| Participation rate | 49.3% | 64.3%-15.0pp | 69.6%-20.3pp | 67.9%-18.6pp |
| Annual return | 13.49% | 19.05%-5.6pp | 37.91%-24.4pp | 28.97%-15.5pp |
| Employer contribution / active EE | $837 | $1,864-55.1% | $2,534-67.0% | $2,590-67.7% |
| Participant deferral / active EE | $2,488 | $3,136-20.7% | $3,833-35.1% | $4,291-42.0% |
| Admin fee / account holder | $353 | $1,430-75.3% | $5,479-93.6% | $1,588-77.8% |