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| Provider | Service type | Compensation |
|---|---|---|
POND NORTH LLP1 year Filed as: POND REALTY COMPANY DBA JOSEPH MANA Service code 27 250 E 5TH ST #285 · CINCINNATI, OH 45202 | Advisory (Plan) | $27,298 |
Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $5,538 |
Filed as: ADVISED ASSETS GROUP Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Investment Management | $5,427 |
TD AMERITRADE, INC.1 year Filed as: TD AMERITRADE Service code 33 200 S. 108TH AVENUE · OMAHA, NE 68154 | Securities brokerage | $449 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant is in the bottom quintile of the peer cohort.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $68,326 | $40,174+70.1% | $84,023-18.7% | $67,582+1.1% |
| Participation rate | 41.5% | 62.7%-21.2pp | 69.0%-27.5pp | 71.3%-29.8pp |
| Annual return | 24.45% | 25.82%-1.4pp | 71.32%-46.9pp | 378.57%-354.1pp |
| Employer contribution / active EE | $148 | $808-81.6% | $1,984-92.5% | $2,148-93.1% |
| Participant deferral / active EE | $2,343 | $2,301+1.8% | $3,239-27.7% | $3,539-33.8% |
| Admin fee / account holder | $83 | $128-35.1% | $6,102-98.6% | $142-41.5% |