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| Provider | Service type | Compensation |
|---|---|---|
Filed as: MERRILL A BANK OF AMERICA COMPANY Service code 28 14636 N. SCOTTSDALE RD STE 325 · SCOTTSDALE, AZ 85254 | Investment Management | $26,442 |
Counterparties on defaulted loans (Part 1), defaulted leases (Part 2), and non-exempt prohibited transactions (Part 3). Presence of any row warrants fiduciary review.
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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.)
Annual investment return is in the bottom quintile of the peer cohort.
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
Assets per participant exceed $250,000 - top-decile high-value plan.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $2,585,278 | $91,439+2727.3% | $135,974+1801.3% | $71,511+3515.2% |
| Participation rate | 0.0% | 75.7%-75.7pp | 81.9%-81.9pp | 67.9%-67.9pp |
| Annual return | 5.83% | 29.90%-24.1pp | 68.30%-62.5pp | 28.86%-23.0pp |
| Employer contribution / active EE | $12,821 | $3,705+246.1% | $4,859+163.9% | $2,589+395.2% |
| Participant deferral / active EE | $0 | $7,093-100.0% | $7,760-100.0% | $4,291-100.0% |
| Admin fee / account holder | $2,644 | $1,267+108.8% | $10,767-75.4% | $1,588+66.5% |