Filed February 6, 2015
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| Provider | Service type | Compensation |
|---|---|---|
OSAIC WEALTH INC2 years Filed as: OSAIC WEALTH, INC. Service code 16 · EIN 93-0987232 | Consulting | $78,511 |
Service code 12 · EIN 13-3689044 | Account maintenance fees; Shareholder... | $60,942 |
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.)
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 | $78,148 | $50,815+53.8% | $155,509-49.7% | $77,643+0.7% |
| Participation rate | 60.4% | 63.1%-2.7pp | 78.2%-17.7pp | 70.6%-10.1pp |
| Annual return | 14.31% | 34.80%-20.5pp | 64.67%-50.4pp | 31.24%-16.9pp |
| Employer contribution / active EE | $997 | $1,993-50.0% | $4,672-78.7% | $2,726-63.4% |
| Participant deferral / active EE | $4,568 | $2,822+61.9% | $5,626-18.8% | $4,647-1.7% |
| Admin fee / account holder | $362 | $437-17.1% | $15,912-97.7% | $430-15.8% |