Filed July 22, 2024
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| Provider | Service type | Compensation |
|---|---|---|
Service code 27 24 E COTA ST STE 200 · SANTA BARBARA, CA 93101 | Advisory (Plan) | $3,228 |
Filed as: ADVISED ASSETS GROUP, LLC Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Investment Management | $2,444 |
Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $1,825 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $56,090 | $65,862-14.8% | $124,693-55.0% | $79,393-29.4% |
| Participation rate | 54.0% | 62.2%-8.2pp | 74.6%-20.6pp | 70.7%-16.7pp |
| Annual return | 15.01% | 19.02%-4.0pp | 5144.19%-5129.2pp | 116.87%-101.9pp |
| Employer contribution / active EE | $1,872 | $1,883-0.6% | $3,324-43.7% | $2,428-22.9% |
| Participant deferral / active EE | $3,585 | $2,772+29.3% | $4,615-22.3% | $4,046-11.4% |
| Admin fee / account holder | $87 | $673-87.0% | $7,494-98.8% | $627-86.1% |