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| Provider | Service type | Compensation |
|---|---|---|
CHARLES SCHWAB & CO., INC.1+ years Filed as: CHARLES SCHWAB Service code 27 · EIN 94-1671384 | Advisory (Plan) | $35,746 |
MORGAN STANLEY SMITH BARNEY1+ years Filed as: MORGAN STANLEY Service code 27 · EIN 94-1671384 | Advisory (Plan) | $33,239 |
UBS FINANCIAL SERVICES INC1+ years Filed as: UBS Service code 27 · EIN 13-2638166 | Advisory (Plan) | $21,922 |
WELLS FARGO BANK, N.A.1+ years Filed as: WELLS FARGO ADVISORS Service code 27 ONE NORTH JEFFERSON · ST. LOUIS, MO 63103 | Advisory (Plan) | $19,070 |
TD AMERITRADE, INC.1+ years Filed as: AMERITRADE INSTITUTIONAL Service code 27 200 S 108TH AVE · OMAHA, NE 681542631 | Advisory (Plan) | $18,766 |
Filed as: MERRILL LYNCH Service code 27 · EIN 13-3180817 | Advisory (Plan) | $17,195 |
TD AMERITRADE, INC.1+ years Filed as: TD AMERITRADE Service code 27 200 S 108TH AVE · OMAHA, NE 681542631 | Advisory (Plan) | $10,190 |
LPL FINANCIAL1+ years Service code 27 · EIN 95-2834236 | Advisory (Plan) | $8,592 |
Filed as: AMERIPRISE FINANCIAL Service code 27 70100 AMERIPRISE FINANCIAL CENTER · MINNEAPOLIS, MN 55474 | Advisory (Plan) | $7,930 |
CITIGROUP GLOBAL MARKETS INC1+ years Filed as: CITI PERSONAL WEALTH MANAGEMENT Service code 27 | Advisory (Plan) | $7,885 |
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.)
Annual investment return is in the bottom quintile of the peer cohort.
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $211,931 | $37,117+471.0% | $147,618+43.6% | $55,191+284.0% |
| Participation rate | 49.8% | 63.6%-13.8pp | 84.6%-34.8pp | 69.2%-19.4pp |
| Annual return | -1.94% | 3.44%-5.4pp | 61.98%-63.9pp | 10.78%-12.7pp |
| Employer contribution / active EE | $7,092 | $1,620+337.6% | $5,564+27.5% | $1,899+273.5% |
| Participant deferral / active EE | $0 | $1,985-100.0% | $4,895-100.0% | $3,046-100.0% |
| Admin fee / account holder | $928 | $86+984.9% | $11,612-92.0% | $91+922.6% |