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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY1+ years Service code 27 1 NEW YORK PLZ 12TH FL · NEW YORK, NY 10004 | Advisory (Plan) | $12,819 |
Filed as: FIRST GREAT-WEST LIFE & ANNUITY Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $11,597 |
Filed as: ADVISED ASSETS GROUP, LLC Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Investment Management | $3,646 |
CETERA ADVISOR NETWORKS LLC1+ years Service code 55 200 N PACIFIC COAST HWY STE 1200 · EL SEGUNDO, CA 902455670 | Other Commissions | $2,084 |
Filed as: ALLIANT INSURANCE SERVICES INC DBA Service code 13 PO BOX 22052 · NEW YORK, NY 100872052 | Contract Administrator | $1,392 |
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.)
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 | $97,073 | $62,132+56.2% | $185,835-47.8% | $73,493+32.1% |
| Participation rate | 46.7% | 67.8%-21.1pp | 78.0%-31.3pp | 70.7%-24.0pp |
| Annual return | 16.03% | 20.44%-4.4pp | 35.96%-19.9pp | 28.51%-12.5pp |
| Employer contribution / active EE | $879 | $1,681-47.7% | $4,087-78.5% | $2,270-61.3% |
| Participant deferral / active EE | $5,336 | $3,711+43.8% | $5,633-5.3% | $3,740+42.7% |
| Admin fee / account holder | $427 | $419+1.9% | $9,502-95.5% | $513-16.8% |