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| Provider | Service type | Compensation |
|---|---|---|
Filed as: SOUTHWESTERN INVESTMENT ADVISORS Service code 26 · EIN 47-1471217 | Advisory (Participants) | $21,067 |
Service code 15 · EIN 01-0233346 | Recordkeeping | $375 |
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.)
Annual investment return is in the bottom quintile of the peer cohort.
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 | $63,422 | $99,957-36.6% | $149,730-57.6% | $73,493-13.7% |
| Participation rate | 56.9% | 75.7%-18.8pp | 82.5%-25.5pp | 70.7%-13.7pp |
| Annual return | 10.94% | 53.87%-42.9pp | 276.70%-265.8pp | 28.51%-17.6pp |
| Employer contribution / active EE | $1,734 | $3,191-45.7% | $4,645-62.7% | $2,270-23.6% |
| Participant deferral / active EE | $2,660 | $6,073-56.2% | $6,843-61.1% | $3,740-28.9% |
| Admin fee / account holder | $478 | $551-13.1% | $9,310-94.9% | $513-6.8% |