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| Provider | Service type | Compensation |
|---|---|---|
CHARLES SCHWAB & CO., INC.2+ years Filed as: CHARLES SCHWAB Service code 27 · EIN 94-1671384 | Advisory (Plan) | $35,466 |
MORGAN STANLEY SMITH BARNEY2+ years Filed as: MORGAN STANLEY Service code 27 · EIN 94-1671384 | Advisory (Plan) | $34,950 |
TD AMERITRADE, INC.2+ years Filed as: TD AMERITRADE Service code 27 200 S 108TH AVE · OMAHA, NE 681542631 | Advisory (Plan) | $24,565 |
UBS FINANCIAL SERVICES INC2+ years Filed as: UBS Service code 27 · EIN 13-2638166 | Advisory (Plan) | $21,893 |
WELLS FARGO BANK, N.A.2+ years Filed as: WELLS FARGO ADVISORS Service code 27 ONE NORTH JEFFERSON · ST. LOUIS, MO 63103 | Advisory (Plan) | $21,775 |
Filed as: MERRILL LYNCH Service code 27 · EIN 13-3180817 | Advisory (Plan) | $19,573 |
Filed as: NORTHWESTERN MUTUAL Service code 27 | Advisory (Plan) | $11,135 |
LPL FINANCIAL2+ years Service code 27 · EIN 95-2834236 | Advisory (Plan) | $8,840 |
Filed as: AMERIPRISE FINANCIAL Service code 27 70100 AMERIPRISE FINANCIAL CENTER · MINNEAPOLIS, MN 55474 | Advisory (Plan) | $8,537 |
PACIFIC WEALTH MANAGEMENT2+ years Service code 27 12544 HIGH BLUFF DRIVE, SUITE 440 · SAN DIEGO, CA 92130 | Advisory (Plan) | $7,577 |
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.)
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 | $223,481 | $36,926+505.2% | $156,551+42.8% | $57,661+287.6% |
| Participation rate | 60.2% | 63.4%-3.2pp | 84.0%-23.8pp | 70.2%-10.0pp |
| Annual return | 6.09% | 12.38%-6.3pp | 32.23%-26.1pp | 5.13%+1.0pp |
| Employer contribution / active EE | $8,327 | $1,571+430.1% | $5,501+51.4% | $1,974+321.9% |
| Participant deferral / active EE | $0 | $1,926-100.0% | $4,871-100.0% | $3,061-100.0% |
| Admin fee / account holder | $919 | $83+1014.3% | $13,028-92.9% | $95+872.6% |