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| Provider | Service type | Compensation |
|---|---|---|
Filed as: GREAT-WEST LIFE & ANNUITY INS CO Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD, CO 80111 | Recordkeeping Fees | $24,521 |
Filed as: MASSACHUSETTS MUTUAL LIFE INS COMP Service code 55 PO BOX 771115 · CINCINNATI, OH 452771115 | Other Commissions | $17,547 |
NOVA 401(K) ASSOCIATES1 year Filed as: NOVA 401 (K) ASSOCIATES Service code 13 | Contract Administrator | $4,155 |
ALLIANCE BENEFIT GROUP2 years Filed as: ALLIANCE BENEFIT GROUP OF HOUSTON, Service code 13 | Contract Administrator | $833 |
Filed as: EMPOWER RETIREMENT ADVISORY SERVICE Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Investment Management | $696 |
ALLIANCE BENEFIT GROUP1 year Filed as: ALLIANCE BENEFIT GROUP OF HOUSTON I Service code 13 7425 HOLLISTER ST. · HOUSTON, TX 77040 | Contract Administrator | $0 |
NOVA 401(K) ASSOCIATES1 year Service code 13 10777 NORTHWEST FREEWAY · HOUSTON, TX 77092 | Contract Administrator | $0 |
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.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
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 | $60,120 | $73,102-17.8% | $123,553-51.3% | $56,289+6.8% |
| Participation rate | 35.0% | 74.3%-39.3pp | 82.3%-47.3pp | 69.9%-34.9pp |
| Annual return | -5.29% | 3.01%-8.3pp | 119.21%-124.5pp | -9.96%+4.7pp |
| Employer contribution / active EE | $897 | $2,977-69.9% | $4,628-80.6% | $2,111-57.5% |
| Participant deferral / active EE | $1,826 | $5,423-66.3% | $6,426-71.6% | $3,350-45.5% |
| Admin fee / account holder | $321 | $554-42.1% | $9,284-96.5% | $521-38.4% |