Filed April 14, 2021
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| Provider | Service type | Compensation |
|---|---|---|
Service code 27 120 VANTIS STE 400 · ALISO VIEJO, CA 926562689 | Advisory (Plan) | $22,289 |
Filed as: EMPOWER ANNUITY INSURANCE COMPANY O Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $18,739 |
BAKER TILLY US, LLP3 years Filed as: BAKER TILLY VIRCHOW KRAUSE, LLP Service code 10 2599 WILMINGTON RD · NEW CASTLE, PA 16105 | Accounting | $10,914 |
BAKER TILLY US, LLP1 year Filed as: BAKER TILLY US LLP Service code 10 PO BOX 7398 · MADISON, WI 537077398 | Accounting | $2,300 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Annual investment return is in the bottom quintile of the peer cohort.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $35,446 | $27,243+30.1% | $52,425-32.4% | $79,634-55.5% |
| Participation rate | 35.6% | 22.4%+13.2pp | 55.6%-20.0pp | 62.5%-26.9pp |
| Annual return | 11.79% | 63.36%-51.6pp | 302.12%-290.3pp | 36.46%-24.7pp |
| Employer contribution / active EE | $146 | $319-54.4% | $914-84.1% | $2,529-94.2% |
| Participant deferral / active EE | $1,331 | $636+109.4% | $1,790-25.7% | $3,835-65.3% |
| Admin fee / account holder | $147 | $2,105-93.0% | $2,495-94.1% | $1,002-85.3% |