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| Provider | Service type | Compensation |
|---|---|---|
Filed as: EMPOWER ANNUITY INSURANCE COMPANY Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $87,674 |
NOVA 401(K) ASSOCIATES3 years Service code 13 · EIN 20-1181458 | Contract Administrator | $25,159 |
Service code 27 24 E COTA ST · SANTA BARBARA, CA 93101 | Advisory (Plan) | $11,265 |
SAGEPOINT FINANCIAL INC3 years Filed as: FSC SECURITIES CORPORATION Service code 27 · EIN 58-1288674 | Advisory (Plan) | $9,614 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Annual investment return is in the bottom quintile of the peer cohort.
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 | $20,227 | $40,435-50.0% | $80,648-74.9% | $74,473-72.8% |
| Participation rate | 66.6% | 47.4%+19.2pp | 67.0%-0.4pp | 70.7%-4.2pp |
| Annual return | 11.82% | 165.22%-153.4pp | 937.21%-925.4pp | 34.36%-22.5pp |
| Employer contribution / active EE | $1,579 | $1,498+5.4% | $2,724-42.0% | $2,638-40.2% |
| Participant deferral / active EE | $993 | $2,673-62.8% | $4,443-77.6% | $4,530-78.1% |
| Admin fee / account holder | $178 | $721-75.2% | $5,382-96.7% | $347-48.6% |