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| Provider | Service type | Compensation |
|---|---|---|
Filed as: COMMONWEALTH EQUITY SERVICES LLC DB Service code 27 29 SAWYER RD · WALTHAM, MA 024533483 | Advisory (Plan) | $17,101 |
Filed as: ADVISED ASSETS GROUP, LLC Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Investment Management | $10,198 |
Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $9,164 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer 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 declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $5,463 | $46,219-88.2% | $89,414-93.9% | $90,274-93.9% |
| Participation rate | 22.8% | 44.9%-22.1pp | 68.0%-45.2pp | 73.4%-50.5pp |
| Annual return | 20.49% | 25.71%-5.2pp | 245.50%-225.0pp | 53.97%-33.5pp |
| Employer contribution / active EE | $16 | $953-98.3% | $2,586-99.4% | $2,523-99.4% |
| Participant deferral / active EE | $1,423 | $2,136-33.4% | $3,890-63.4% | $4,231-66.4% |
| Admin fee / account holder | $54 | $147-63.4% | $4,883-98.9% | $114-52.9% |