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| Provider | Service type | Compensation |
|---|---|---|
Service code 26 · EIN 85-0467977 | Advisory (Participants) | $29,511 |
ALLIANCE BENEFIT GROUP1+ years Filed as: ALLIANCE BENEFIT GROUP SOUTHWEST Service code 15 · EIN 38-3944313 | Recordkeeping | $4,419 |
CHARLES SCHWAB & CO., INC.1+ years Filed as: CHARLES SCHWAB BANK Service code 19 · EIN 42-1558009 211 MAIN STREET · SAN FRANCISCO, CA 94105 | Securities Custodian | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $40,256 | $39,245+2.6% | $64,105-37.2% | $52,331-23.1% |
| Participation rate | 37.1% | 58.2%-21.1pp | 68.2%-31.1pp | 68.1%-31.0pp |
| Annual return | -1.85% | 14.79%-16.6pp | 791.24%-793.1pp | 4.54%-6.4pp |
| Employer contribution / active EE | $335 | $736-54.5% | $1,820-81.6% | $1,882-82.2% |
| Participant deferral / active EE | $1,985 | $1,992-0.3% | $2,822-29.7% | $3,022-34.3% |
| Admin fee / account holder | $381 | $592-35.7% | $4,499-91.5% | $592-35.6% |