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| Provider | Service type | Compensation |
|---|---|---|
FIRST ALLIED SECURITIES INC2 years Filed as: FIRST ALLIED SECURITIES, INC. Service code 27 · EIN 11-3152836 655 WEST BROADWAY, 12TH FLOOR · SAN DIEGO, CA 92101 | Advisory (Plan) | $29,075 |
Service code 15 · EIN 13-3689044 440 MAMARONECK AVENUE · HARRISON, NY 10528 | Recordkeeping | $19,995 |
Filed as: INNOVATIVE PENSION CONSULTING & ADM Service code 15 · EIN 20-5924713 PO BOX 255 · ROANOKE, IN 46783 | Recordkeeping | $5,200 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $50,005 | $78,419-36.2% | $133,971-62.7% | $73,412-31.9% |
| Participation rate | 82.2% | 78.6%+3.6pp | 79.8%+2.4pp | 72.2%+10.1pp |
| Annual return | 18.21% | 33.35%-15.1pp | 45.09%-26.9pp | 59.30%-41.1pp |
| Employer contribution / active EE | $1,776 | $2,044-13.1% | $3,919-54.7% | $2,234-20.5% |
| Participant deferral / active EE | $5,121 | $3,925+30.5% | $5,047+1.5% | $3,806+34.6% |
| Admin fee / account holder | $326 | $161+102.1% | $8,929-96.3% | $158+106.5% |