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| Provider | Service type | Compensation |
|---|---|---|
Filed as: ADVISED ASSETS GROUP Service code 26 · EIN 84-1532243 | Advisory (Participants) | $453,431 |
Service code 15 · EIN 84-0467907 | Recordkeeping | $336,186 |
COWEN & COMPANY LLC1 year Service code 50 · EIN 84-1702964 | Direct Payment | $12,459 |
Filed as: GWFS EQUITIES INC Service code 26 · EIN 84-0965407 8515 E ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Advisory (Participants) | $7,868 |
Annual investment return is in the bottom quintile of the peer cohort.
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $120,317 | $124,049-3.0% | $95,968+25.4% | $93,223+29.1% |
| Participation rate | 92.9% | 88.4%+4.5pp | 77.1%+15.8pp | 74.9%+18.0pp |
| Annual return | -11.58% | 22.17%-33.8pp | 91.65%-103.2pp | 19.29%-30.9pp |
| Employer contribution / active EE | $4,779 | $3,478+37.4% | $2,542+88.0% | $2,680+78.4% |
| Participant deferral / active EE | $11,648 | $6,147+89.5% | $4,167+179.5% | $4,563+155.3% |
| Admin fee / account holder | $101 | $73+38.8% | $6,798-98.5% | $79+27.4% |