Filed September 22, 2026
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| Provider | Service type | Compensation |
|---|---|---|
Service code 64 · EIN 71-0294708 | Recordkeeping Fees | $178,370 |
Filed as: AMERIPRISE FINANCIAL SERVICES, INC. Service code 55 50082 AMERIPRISE FINANCIAL CTR · MINNEAPOLIS, MN 55474 | Other Commissions | $81,565 |
MORNINGSTAR3 years Service code 27 · EIN 36-3297908 | Advisory (Plan) | $15,491 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Annual investment return is in the bottom quintile of the peer cohort.
Plan reported corrective distributions (failed ADP/ACP testing).
The auditor signed off without reservation. This is the cleanest opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $69,200 | $52,660+31.4% | $86,612-20.1% | $80,160-13.7% |
| Participation rate | 26.1% | 62.4%-36.3pp | 71.7%-45.6pp | 72.9%-46.8pp |
| Annual return | 9.81% | 24.87%-15.1pp | 591.07%-581.3pp | 40.38%-30.6pp |
| Employer contribution / active EE | $1,260 | $2,140-41.1% | $3,022-58.3% | $2,978-57.7% |
| Participant deferral / active EE | $1,383 | $3,215-57.0% | $4,438-68.8% | $5,017-72.4% |
| Admin fee / account holder | $214 | $113+89.4% | $5,614-96.2% | $145+47.4% |