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| Provider | Service type | Compensation |
|---|---|---|
CETERA ADVISOR NETWORKS LLC4 years Filed as: CETERA INVESTMENT SERVICES LLC Service code 27 400 FIRST ST SOUTH STE 1200 · ST CLOUD, MN 56301 | Advisory (Plan) | $27,546 |
CETERA ADVISOR NETWORKS LLC4 years Filed as: CETERA RETIREMENT PLAN Service code 13 2125 OAK GROVE RD STE 105 · WALNUT CREEK, CA 94598 | Contract Administrator | $18,761 |
AMERICAN FUNDS4 years Filed as: CAPITAL GROUP RETIREMENT PLAN SERV Service code 64 6455 IRVINE CENTER DRIVE · IRVINE, CA 92618 | Recordkeeping Fees | $6,429 |
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 declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $33,216 | $51,223-35.2% | $82,763-59.9% | $66,949-50.4% |
| Participation rate | 63.5% | 67.9%-4.5pp | 72.6%-9.1pp | 69.8%-6.4pp |
| Annual return | -10.19% | -9.85%-0.3pp | 702.45%-712.6pp | 1.57%-11.8pp |
| Employer contribution / active EE | $1,450 | $2,611-44.5% | $3,008-51.8% | $2,545-43.0% |
| Participant deferral / active EE | $3,677 | $3,460+6.3% | $4,395-16.3% | $4,239-13.3% |
| Admin fee / account holder | $240 | $415-42.3% | $5,325-95.5% | $594-59.6% |