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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY3+ years Filed as: MORGAN STANLEY Service code 15 · EIN 20-8764829 HARBORSIDE FIN LTR PLAZA II · NEW JERSEY CITY, NJ 073113977 | Recordkeeping | $828,024 |
UNITED ADMINISTRATIVE SERVICES3+ years Service code 13 · EIN 94-1749354 6800 SANTA TERESA BOULEVARD · SAN JOSE, CA 95128 | Contract Administrator | $213,873 |
MATRIX TRUST COMPANY3+ years Filed as: MG TRUST COMPANY DBA MATRIX TRUST Service code 19 · EIN 75-3182674 717 17TH STREET, · DENVER, CO 80202 | Securities Custodian | $211,856 |
DWIGHT ASSET MANAGEMENT3+ years Service code 28 · EIN 04-3211048 100 BANK STREET · BURLINGTON, VT 05401 | Investment Management | $161,224 |
KAUFMANN & GOBLE3+ years Filed as: KAUFMANN AND GOBLE Service code 15 · EIN 94-2614826 160 W. SANTA CLARA STREET · SAN JOSE, CA 95113 | Recordkeeping | $110,758 |
INDEPENDENT FINANCIAL PARTNERS3+ years Filed as: SIERRA INVESTMENT PARTNERS, INC. Service code 28 101 YGNACIO VALLEY ROAD, SUITE 300 · WALNUT CREEK, CA 94596 | Investment Management | $58,210 |
NUVEEN3+ years Filed as: NWQ Service code 28 · EIN 47-0875103 2049 CENTURY PARK EAST · LOS ANGELES, CA 90067 | Investment Management | $46,027 |
Service code 29 · EIN 94-2576729 369 PINE STREET · SAN FRANCISCO, CA 941043323 | Legal | $37,596 |
INEICH & COMPANY, LLP3+ years Service code 10 · EIN 56-2552172 950 TOWER LANE, SUITE 780 · FOSTER CITY, CA 94404 | Accounting | $34,146 |
INNOVATIVE COST MANAGEMENT3+ years Service code 17 · EIN 77-0119752 2 N MARKET STREET · SAN JOSE, CA 95113 | Pension Consulting | $18,000 |
Counterparties on defaulted loans (Part 1), defaulted leases (Part 2), and non-exempt prohibited transactions (Part 3). Presence of any row warrants fiduciary review.
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Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $0 | $221,442-100.0% | $92,240-100.0% | $77,958-100.0% |
| Participation rate | 0.0% | 79.6%-79.6pp | 76.5%-76.5pp | 71.6%-71.6pp |
| Annual return | 14.48% | 15.65%-1.2pp | 176.29%-161.8pp | 20.87%-6.4pp |
| Employer contribution / active EE | $19,464 | $3,226+503.4% | $3,680+429.0% | $2,310+742.4% |
| Participant deferral / active EE | $0 | $2,779-100.0% | $3,897-100.0% | $3,537-100.0% |
| Admin fee / account holder | $0 | $210-100.0% | $5,194-100.0% | $97-100.0% |