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| Provider | Service type | Compensation |
|---|---|---|
Filed as: NORTHWEST PLAN SERVICES, INC Service code 15 · EIN 91-2090931 | Recordkeeping | $59,607 |
RBC WEALTH MANAGEMENT3 years Service code 26 · EIN 41-1416330 | Advisory (Participants) | $36,457 |
PETERSON SULLIVAN LLP3 years Filed as: PETERSON SULLIVAN, LLP Service code 10 · EIN 91-0605875 | Accounting | $17,550 |
CHARLES SCHWAB & CO., INC.3 years Filed as: CHARLES SCHWAB BANK Service code 15 · EIN 42-1558009 | Recordkeeping | $8,824 |
Service code 22 · EIN 06-0566050 | Insurance Broker | $6,009 |
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.)
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 | $46,306 | $62,267-25.6% | $110,243-58.0% | $55,725-16.9% |
| Participation rate | 61.1% | 78.1%-17.0pp | 79.8%-18.7pp | 70.9%-9.8pp |
| Annual return | -3.47% | -1.07%-2.4pp | 314.76%-318.2pp | 244.93%-248.4pp |
| Employer contribution / active EE | $2,098 | $1,941+8.1% | $3,827-45.2% | $2,078+0.9% |
| Participant deferral / active EE | $2,212 | $3,516-37.1% | $4,672-52.7% | $3,356-34.1% |
| Admin fee / account holder | $316 | $121+161.5% | $8,548-96.3% | $115+174.5% |