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| Provider | Service type | Compensation |
|---|---|---|
Filed as: AMERIPRISE FINANCIAL SERVICES, INC. Service code 22 · EIN 41-0973005 | Insurance Broker | $0 |
Employer contribution per participant is in the bottom quintile of the peer cohort.
Annual investment return is in the bottom quintile of the peer cohort.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $27,801 | $66,402-58.1% | $109,907-74.7% | $85,847-67.6% |
| Participation rate | 81.3% | 63.9%+17.4pp | 74.2%+7.0pp | 69.3%+11.9pp |
| Annual return | 10.91% | 19.59%-8.7pp | 29.46%-18.6pp | 318.61%-307.7pp |
| Employer contribution / active EE | $0 | $1,687-100.0% | $2,844-100.0% | $2,565-100.0% |
| Participant deferral / active EE | $3,037 | $2,842+6.8% | $4,047-25.0% | $3,952-23.2% |
| Admin fee / account holder | $3 | $4,557-99.9% | $6,069-100.0% | $6,261-100.0% |