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| Provider | Service type | Compensation |
|---|---|---|
401(K) ADVISORS INC4 years Filed as: NI ADVISORS Service code 55 1138 CADILLAC CT · MILPITAS, CA 95035 | Other Commissions | $19,797 |
EMERSON RICKSTREW1 year Filed as: EMERSON EQUITY LLC Service code 55 155 BOVET RD STE 725 · SAN MATEO, CA 94402 | Other Commissions | $7,903 |
Service code 60 · EIN 04-2647786 | Sub-TA Fees | $6,023 |
Service code 55 · EIN 26-4310632 | Other Commissions | $2,573 |
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.
Employer contribution per participant 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 | $74,639 | $106,264-29.8% | $147,117-49.3% | $77,762-4.0% |
| Participation rate | 40.0% | 78.4%-38.4pp | 82.2%-42.2pp | 70.6%-30.6pp |
| Annual return | 21.36% | 56.94%-35.6pp | 420.54%-399.2pp | 31.27%-9.9pp |
| Employer contribution / active EE | $333 | $4,074-91.8% | $4,932-93.2% | $2,728-87.8% |
| Participant deferral / active EE | $846 | $8,003-89.4% | $8,065-89.5% | $4,651-81.8% |
| Admin fee / account holder | $34 | $334-89.9% | $12,993-99.7% | $433-92.2% |