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| Provider | Service type | Compensation |
|---|---|---|
Service code 27 · EIN 71-0294708 | Advisory (Plan) | $32,043 |
SECURITIES AMERICA INC3 years Filed as: AW SECURITIES Service code 55 8775 FOLSOM BLVD STE 100 · SACRAMENTO, CA 95826 | Other Commissions | $24,137 |
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.
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $155,626 | $77,677+100.3% | $109,188+42.5% | $79,389+96.0% |
| Participation rate | 16.7% | 67.8%-51.1pp | 75.9%-59.2pp | 70.7%-54.0pp |
| Annual return | 1.82% | 23.44%-21.6pp | 25.76%-23.9pp | 116.89%-115.1pp |
| Employer contribution / active EE | $1,289 | $2,798-53.9% | $3,723-65.4% | $2,428-46.9% |
| Participant deferral / active EE | $1,271 | $3,517-63.9% | $4,654-72.7% | $4,046-68.6% |
| Admin fee / account holder | $471 | $732-35.7% | $6,755-93.0% | $626-24.8% |