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| Provider | Service type | Compensation |
|---|---|---|
Filed as: CETERA INVESTMENT ADVISERS LLC Service code 26 · EIN 36-3258176 | Advisory (Participants) | $10,149 |
Service code 15 · EIN 01-0233346 | Recordkeeping | $2,697 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $14,939 | $60,305-75.2% | $81,780-81.7% | $74,400-79.9% |
| Participation rate | 58.5% | 62.9%-4.4pp | 72.4%-13.9pp | 67.2%-8.7pp |
| Annual return | 0.00% | 16.89%-16.9pp | 776.27%-776.3pp | 1367.51%-1367.5pp |
| Employer contribution / active EE | $865 | $2,623-67.0% | $2,914-70.3% | $2,624-67.0% |
| Participant deferral / active EE | $4,635 | $3,390+36.7% | $4,321+7.3% | $4,348+6.6% |
| Admin fee / account holder | $132 | $1,484-91.1% | $7,384-98.2% | $1,944-93.2% |