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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY3+ years Filed as: MORGAN STANLEY Service code 27 | Advisory (Plan) | $43,265 |
CHARLES SCHWAB & CO., INC.3+ years Filed as: CHARLES SCHWAB Service code 27 | Advisory (Plan) | $39,164 |
TD AMERITRADE, INC.3+ years Filed as: TD AMERITRADE Service code 27 200 S 108TH AVE · OMAHA, NE 681542631 | Advisory (Plan) | $29,697 |
UBS FINANCIAL SERVICES INC3+ years Filed as: UBS Service code 27 · EIN 13-2638166 | Advisory (Plan) | $21,911 |
WELLS FARGO BANK, N.A.3+ years Filed as: WELLS FARGO ADVISORS Service code 27 ONE NORTH JEFFERSON · ST. LOUIS, MO 63103 | Advisory (Plan) | $21,782 |
Filed as: MERRILL LYNCH Service code 27 · EIN 13-3180817 | Advisory (Plan) | $21,607 |
Filed as: NORTHWESTERN MUTUAL Service code 27 | Advisory (Plan) | $14,579 |
Filed as: FIDELITY INVESTMENTS Service code 27 | Advisory (Plan) | $10,103 |
LPL FINANCIAL3+ years Service code 27 · EIN 95-2834236 | Advisory (Plan) | $8,356 |
Filed as: AMERIPRISE FINANCIAL Service code 27 70100 AMERIPRISE FINANCIAL CENTER · MINNEAPOLIS, MN 55474 | Advisory (Plan) | $7,542 |
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.)
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 | $241,008 | $46,182+421.9% | $170,435+41.4% | $69,634+246.1% |
| Participation rate | 63.9% | 63.9%0pp | 83.6%-19.7pp | 70.7%-6.7pp |
| Annual return | 17.56% | 21.40%-3.8pp | 205.94%-188.4pp | 27572.26%-27554.7pp |
| Employer contribution / active EE | $9,222 | $1,610+472.8% | $5,432+69.8% | $2,032+353.8% |
| Participant deferral / active EE | $0 | $2,081-100.0% | $4,939-100.0% | $3,224-100.0% |
| Admin fee / account holder | $910 | $116+684.9% | $13,881-93.4% | $110+724.3% |