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| Provider | Service type | Compensation |
|---|---|---|
Filed as: GREAT WEST LIFE & ANNUITY COMPANY Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $23,484 |
INDEPENDENT FINANCIAL GROUP LLC4+ years Service code 27 12636 HIGH BLUFF DR STE 100 · SAN DIEGO, CA 92130 | Advisory (Plan) | $7,628 |
Service code 13 PO BOX 13928 · SAN JUAN, PR 00908 | Contract Administrator | $1,112 |
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.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $11,748 | $28,109-58.2% | $71,089-83.5% | $56,289-79.1% |
| Participation rate | 26.3% | 40.4%-14.1pp | 54.6%-28.3pp | 69.9%-43.5pp |
| Annual return | -8.42% | -615.05%+606.6pp | 650.65%-659.1pp | -9.96%+1.5pp |
| Employer contribution / active EE | $59 | $558-89.4% | $1,088-94.6% | $2,111-97.2% |
| Participant deferral / active EE | $480 | $1,116-57.0% | $1,873-74.4% | $3,350-85.7% |
| Admin fee / account holder | $301 | $585-48.4% | $3,082-90.2% | $521-42.1% |