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| Provider | Service type | Compensation |
|---|---|---|
Service code 15 · EIN 65-0608221 | Recordkeeping | $20,111 |
VON BRIESEN & ROPER3 years Filed as: VON BERGE WEALTH MANAGEMENT Service code 26 600 WEST BROADWAY · SAN DIEGO, CA 92101 | Advisory (Participants) | $14,206 |
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.)
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $31,943 | $82,133-61.1% | $147,318-78.3% | $64,097-50.2% |
| Participation rate | 28.7% | 62.3%-33.6pp | 82.1%-53.4pp | 55.2%-26.5pp |
| Annual return | 14.31% | 78.78%-64.5pp | 70.43%-56.1pp | 34.64%-20.3pp |
| Employer contribution / active EE | $0 | $2,872-100.0% | $4,593-100.0% | $1,891-100.0% |
| Participant deferral / active EE | $2,797 | $5,407-48.3% | $7,906-64.6% | $3,080-9.2% |
| Admin fee / account holder | $396 | $3,730-89.4% | $13,708-97.1% | $3,454-88.5% |