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| Provider | Service type | Compensation |
|---|---|---|
CETERA ADVISOR NETWORKS LLC1+ years Service code 55 200 N SEPULVEDA BLVD STE 1300 · EL SEGUNDO, CA 90245 | Other Commissions | $18,188 |
Service code 60 · EIN 04-2647786 | Sub-TA Fees | $225 |
NATIONAL FINANCIAL SERVICES1+ years Filed as: NATIONAL FINANCIAL SERVICES LLC Service code 61 · EIN 04-3523567 | Finders' fees / placement fees | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
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 | $22,659 | $57,096-60.3% | $94,229-76.0% | $55,191-58.9% |
| Participation rate | 55.1% | 75.7%-20.6pp | 78.8%-23.7pp | 69.2%-14.1pp |
| Annual return | -0.31% | 159.65%-160.0pp | 10.68%-11.0pp | 10.78%-11.1pp |
| Employer contribution / active EE | $1,764 | $1,708+3.3% | $3,587-50.8% | $1,899-7.1% |
| Participant deferral / active EE | $2,666 | $3,165-15.8% | $4,320-38.3% | $3,046-12.5% |
| Admin fee / account holder | $1 | $89-98.8% | $6,269-100.0% | $91-98.8% |