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| Provider | Service type | Compensation |
|---|---|---|
ROCKEFELLER FINANCIAL LLC2 years Filed as: ROCKEFELLER CAPITAL MANAGEMENT Service code 27 · EIN 82-3226180 | Advisory (Plan) | $32,013 |
Service code 13 · EIN 42-0127290 | Contract Administrator | $30,955 |
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 | $131,398 | $72,620+80.9% | $90,756+44.8% | $66,930+96.3% |
| Participation rate | 59.0% | 73.7%-14.7pp | 75.7%-16.7pp | 69.8%-10.8pp |
| Annual return | 15.69% | -12.28%+28.0pp | -12.16%+27.8pp | 1.57%+14.1pp |
| Employer contribution / active EE | $952 | $2,369-59.8% | $2,922-67.4% | $2,545-62.6% |
| Participant deferral / active EE | $4,253 | $3,979+6.9% | $4,565-6.8% | $4,238+0.4% |
| Admin fee / account holder | $797 | $707+12.7% | $8,445-90.6% | $593+34.3% |