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| Provider | Service type | Compensation |
|---|---|---|
Filed as: FIRST GREAT-WEST LIFE & ANNUITY Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $32,435 |
Service code 27 1 NEW YORK PLZ 12TH FL · NEW YORK, NY 10004 | Advisory (Plan) | $20,724 |
DLA PIPER2 years Filed as: DLA PIPER LLP US Service code 29 6225 SMITH AVE · BALTIMORE, MD 21209 | Legal | $18,154 |
Service code 10 500 OLD COUNTRY RD STE 311 · GARDEN CITY, NY 11530 | Accounting | $13,467 |
Filed as: MERRILL LYNCH LIFE AGENCY INC Service code 55 1215 4TH AVE 26TH FL · SEATTLE, WA 98161 | Other Commissions | $1,216 |
Counterparties on defaulted loans (Part 1), defaulted leases (Part 2), and non-exempt prohibited transactions (Part 3). Presence of any row warrants fiduciary review.
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Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $68,767 | $71,666-4.0% | $117,861-41.7% | $69,631-1.2% |
| Participation rate | 48.5% | 77.5%-29.0pp | 79.7%-31.2pp | 70.7%-22.2pp |
| Annual return | 16.76% | 18.86%-2.1pp | 335.11%-318.3pp | 27571.02%-27554.3pp |
| Employer contribution / active EE | $2,001 | $1,889+5.9% | $3,786-47.1% | $2,032-1.5% |
| Participant deferral / active EE | $3,080 | $3,340-7.8% | $4,482-31.3% | $3,224-4.5% |
| Admin fee / account holder | $297 | $120+146.6% | $8,021-96.3% | $110+168.7% |