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| Provider | Service type | Compensation |
|---|---|---|
Filed as: AMERIPRISE FINANCIAL SERVICES LLC Service code 26 · EIN 38-2722519 300 EXECUTIVE DRIVE · WEST ORANGE, NJ 07052 | Advisory (Participants) | $8,759 |
Service code 15 · EIN 01-0233346 P.O. BOX 600 · BUFFALO, NY 14021 | Recordkeeping | $0 |
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.)
Annual investment return is in the bottom quintile of the peer cohort.
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 | $102,255 | $37,463+172.9% | $77,100+32.6% | $66,949+52.7% |
| Participation rate | 10.1% | 52.9%-42.9pp | 67.9%-57.8pp | 69.8%-59.7pp |
| Annual return | -20.18% | -3.25%-16.9pp | 42.35%-62.5pp | 1.57%-21.8pp |
| Employer contribution / active EE | $326 | $1,535-78.7% | $2,815-88.4% | $2,545-87.2% |
| Participant deferral / active EE | $570 | $2,621-78.3% | $4,430-87.1% | $4,239-86.6% |
| Admin fee / account holder | $909 | $568+60.1% | $5,443-83.3% | $594+53.2% |