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| Provider | Service type | Compensation |
|---|---|---|
Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $19,059 |
M HOLDINGS SECURITIES INC5+ years Service code 55 PO BOX 2207 · PORTLAND, OR 97208 | Other Commissions | $13,975 |
Filed as: ADVISED ASSETS GROUP Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Investment Management | $292 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant is in the bottom quintile of the peer cohort.
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.
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 | $70,198 | $89,367-21.4% | $141,191-50.3% | $72,975-3.8% |
| Participation rate | 27.2% | 75.1%-48.0pp | 82.5%-55.3pp | 69.5%-42.3pp |
| Annual return | 18.07% | 111.87%-93.8pp | 71.41%-53.3pp | 81.01%-62.9pp |
| Employer contribution / active EE | $0 | $3,115-100.0% | $4,736-100.0% | $2,440-100.0% |
| Participant deferral / active EE | $2,433 | $5,419-55.1% | $6,710-63.7% | $3,608-32.6% |
| Admin fee / account holder | $346 | $5,957-94.2% | $10,264-96.6% | $5,124-93.3% |