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| Provider | Service type | Compensation |
|---|---|---|
Filed as: B. RILEY WEALTH MANAGEMENT, INC. Service code 26 · EIN 62-1518255 6000 POPLAR AVENUE · MEMPHIS, TN 38119 | Advisory (Participants) | $36,118 |
Filed as: JOHN HANCOCK LIFE INSURANCE CO Service code 15 · EIN 01-0233346 P.O. BOX 600 · BUFFALO, NY 142010600 | Recordkeeping | $3,767 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant 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.)
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 | $86,108 | $71,142+21.0% | $119,634-28.0% | $64,824+32.8% |
| Participation rate | 32.2% | 78.6%-46.4pp | 79.3%-47.0pp | 71.5%-39.2pp |
| Annual return | -17.05% | -10.01%-7.0pp | -14.98%-2.1pp | 32.84%-49.9pp |
| Employer contribution / active EE | $948 | $2,497-62.0% | $4,232-77.6% | $2,507-62.2% |
| Participant deferral / active EE | $1,584 | $4,490-64.7% | $5,601-71.7% | $4,311-63.3% |
| Admin fee / account holder | $376 | $162+132.0% | $10,329-96.4% | $188+100.2% |