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| Provider | Service type | Compensation |
|---|---|---|
FOCUSED WEALTH MANAGEMENT4 years Filed as: FOCUSED WEALTH MANAGEMENT. Service code 27 216 ROUTE 299 · HIGHLAND, NY 12528 | Advisory (Plan) | $8,540 |
THE VANGUARD GROUP, INC.5 years Service code 15 · EIN 23-1945930 | Recordkeeping | $6,603 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $13,913 | $55,423-74.9% | $155,602-91.1% | $74,400-81.3% |
| Participation rate | 69.0% | 61.9%+7.1pp | 78.2%-9.2pp | 67.2%+1.8pp |
| Annual return | 16.68% | 269.07%-252.4pp | 64.81%-48.1pp | 1367.51%-1350.8pp |
| Employer contribution / active EE | $0 | $2,266-100.0% | $4,675-100.0% | $2,624-100.0% |
| Participant deferral / active EE | $1,337 | $2,835-52.8% | $5,629-76.2% | $4,348-69.2% |
| Admin fee / account holder | $107 | $1,744-93.8% | $15,923-99.3% | $1,944-94.5% |