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| Provider | Service type | Compensation |
|---|---|---|
Filed as: SOUTHWESTERN INVESTMENT ADVISORS Service code 26 · EIN 47-1471217 | Advisory (Participants) | $18,715 |
Service code 15 · EIN 01-0233346 | Recordkeeping | $425 |
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.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
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 | $53,077 | $89,652-40.8% | $141,177-62.4% | $65,185-18.6% |
| Participation rate | 58.0% | 74.7%-16.7pp | 82.5%-24.5pp | 70.2%-12.2pp |
| Annual return | 23.06% | 32.79%-9.7pp | 71.40%-48.3pp | 29.38%-6.3pp |
| Employer contribution / active EE | $1,598 | $3,065-47.8% | $4,736-66.2% | $2,177-26.6% |
| Participant deferral / active EE | $2,472 | $5,691-56.6% | $6,710-63.2% | $3,514-29.6% |
| Admin fee / account holder | $431 | $569-24.2% | $10,263-95.8% | $847-49.1% |