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| Provider | Service type | Compensation |
|---|---|---|
WINTRUST INVESTMENTS LLC1+ years Filed as: WAYNE HUMMER INVESTMENTS LLC Service code 27 231 S LASALLE ST 13TH FL · CHICAGO, IL 60604 | Advisory (Plan) | $23,805 |
Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $12,411 |
Filed as: ADVISED ASSET GROUP Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Investment Management | $983 |
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.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $76,396 | $39,245+94.7% | $64,105+19.2% | $52,331+46.0% |
| Participation rate | 53.7% | 58.2%-4.5pp | 68.2%-14.4pp | 68.1%-14.4pp |
| Annual return | -2.05% | 14.79%-16.8pp | 791.24%-793.3pp | 4.54%-6.6pp |
| Employer contribution / active EE | $648 | $736-12.0% | $1,820-64.4% | $1,882-65.6% |
| Participant deferral / active EE | $2,371 | $1,992+19.0% | $2,822-16.0% | $3,022-21.6% |
| Admin fee / account holder | $409 | $592-31.0% | $4,499-90.9% | $592-30.9% |