Filed April 12, 2016
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| Provider | Service type | Compensation |
|---|---|---|
KAYE CAPITAL MANAGEMENT3 years Service code 27 909 N. PACIFIC COAST HIGHWAY · ENCINO, CA 90245 | Advisory (Plan) | $33,739 |
Filed as: JOHN HANCOCK RETIREMENT PLAN SERVIC Service code 15 · EIN 01-0233346 | Recordkeeping | $24,410 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant is in the bottom quintile of the peer cohort.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $101,069 | $45,602+121.6% | $117,472-14.0% | $66,914+51.0% |
| Participation rate | 42.9% | 57.6%-14.8pp | 70.6%-27.7pp | 69.8%-26.9pp |
| Annual return | -8.69% | -16.74%+8.0pp | 29.74%-38.4pp | 1.58%-10.3pp |
| Employer contribution / active EE | $78 | $1,579-95.1% | $4,176-98.1% | $2,544-97.0% |
| Participant deferral / active EE | $4,575 | $2,845+60.8% | $4,070+12.4% | $4,237+8.0% |
| Admin fee / account holder | $338 | $661-48.8% | $5,645-94.0% | $593-43.0% |