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| Provider | Service type | Compensation |
|---|---|---|
ARISTA WEALTH MANAGEMENT2 years Filed as: ARISTA WEALTH MANAGEMENT, LLC Service code 27 · EIN 20-5148461 | Advisory (Plan) | $35,725 |
ASCENSUS LLC1 year Filed as: DWC ERISA CONSULTANTS, LLC Service code 15 · EIN 26-2091417 | Recordkeeping | $8,879 |
Filed as: TRANSAMERICA LIFE INSURANCE CO. Service code 15 · EIN 39-0989781 | Recordkeeping | $1,094 |
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.
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).
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 | $41,903 | $73,102-42.7% | $123,549-66.1% | $56,287-25.6% |
| Participation rate | 58.2% | 74.3%-16.1pp | 82.3%-24.1pp | 69.9%-11.7pp |
| Annual return | -8.05% | 3.01%-11.1pp | 119.20%-127.2pp | -9.96%+1.9pp |
| Employer contribution / active EE | $1,936 | $2,977-35.0% | $4,628-58.2% | $2,111-8.3% |
| Participant deferral / active EE | $3,054 | $5,423-43.7% | $6,426-52.5% | $3,350-8.8% |
| Admin fee / account holder | $267 | $554-51.7% | $9,284-97.1% | $521-48.7% |