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| Provider | Service type | Compensation |
|---|---|---|
Service code 13 | Contract Administrator | $14,322 |
Service code 52 · EIN 04-1590850 | Indirect Investment Fees | $6,683 |
CETERA ADVISOR NETWORKS LLC1+ years Service code 53 · EIN 95-3845382 | Insurance Commissions | $0 |
Filed as: ROBIN S. WEINGAST Service code 53 · EIN 11-2859146 | Insurance Commissions | $0 |
Filed as: ROBIN S. WEINGAST & ASSOC., INC Service code 13 · EIN 11-2859146 | Contract Administrator | $0 |
STEPHAN L. GROSSMAN1+ years Service code 53 250 W. 34TH ST. · NEW YORK, NY 10119 | Insurance Commissions | $0 |
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.
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
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 | $36,696 | $37,039-0.9% | $147,617-75.1% | $59,188-38.0% |
| Participation rate | 22.2% | 63.8%-41.6pp | 84.6%-62.5pp | 69.4%-47.3pp |
| Annual return | 72.75% | 7.19%+65.6pp | 61.98%+10.8pp | 5.51%+67.2pp |
| Employer contribution / active EE | $0 | $1,353-100.0% | $5,564-100.0% | $2,098-100.0% |
| Participant deferral / active EE | $513 | $2,094-75.5% | $4,895-89.5% | $3,265-84.3% |
| Admin fee / account holder | $24 | $60-60.8% | $11,612-99.8% | $92-74.4% |