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 | Distribution (12b-1) fees; Finders' f... | $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).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $78,148 | $50,919+53.5% | $155,556-49.8% | $77,762+0.5% |
| Participation rate | 60.4% | 63.1%-2.6pp | 78.2%-17.8pp | 70.6%-10.1pp |
| Annual return | 14.31% | 34.84%-20.5pp | 64.84%-50.5pp | 31.27%-17.0pp |
| Employer contribution / active EE | $997 | $1,991-49.9% | $4,675-78.7% | $2,728-63.5% |
| Participant deferral / active EE | $4,568 | $2,824+61.7% | $5,631-18.9% | $4,651-1.8% |
| Admin fee / account holder | $362 | $437-17.1% | $15,885-97.7% | $433-16.3% |