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| Provider | Service type | Compensation |
|---|---|---|
Service code 15 · EIN 65-0608221 | Recordkeeping | $14,708 |
VON BRIESEN & ROPER1 year Filed as: VON BERGE WEALTH MANAGEMENT Service code 26 600 WEST BROADWAY · SAN DIEGO, CA 92101 | Advisory (Participants) | $8,586 |
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.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
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 | $20,013 | $95,438-79.0% | $135,982-85.3% | $74,473-73.1% |
| Participation rate | 24.3% | 78.2%-53.9pp | 81.9%-57.6pp | 70.7%-46.4pp |
| Annual return | 25.52% | 32.61%-7.1pp | 68.32%-42.8pp | 34.36%-8.8pp |
| Employer contribution / active EE | $0 | $3,878-100.0% | $4,859-100.0% | $2,638-100.0% |
| Participant deferral / active EE | $2,363 | $7,790-69.7% | $7,760-69.6% | $4,530-47.8% |
| Admin fee / account holder | $233 | $259-10.1% | $10,767-97.8% | $347-33.0% |