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| Provider | Service type | Compensation |
|---|---|---|
Filed as: AT RETIRMENT SEVICES Service code 15 · EIN 83-3455979 855 MAIN ST · DUBUQUE, IA 520016823 | Recordkeeping | $50,027 |
Filed as: LADENBURG THALMANN ASSET MANAGEMENT Service code 27 640 FIFTH AVENUE · NEW YORK, NY 10019 | Advisory (Plan) | $42,304 |
Service code 14 · EIN 93-2789379 1251 WATERFRONT PL. STE 510 · PITTSBURGH, PA 15222 | Plan Administrator | $35,441 |
SECURITIES AMERICA INC1 year Filed as: SECURITIES AMERICA ADVISORS, INC. Service code 27 12325 PORT GRACE BLVD · LA VISTA, NE 68128 | Advisory (Plan) | $22,217 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
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.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $50,023 | $129,227-61.3% | $184,260-72.9% | $77,736-35.7% |
| Participation rate | 38.5% | 87.4%-48.8pp | 86.8%-48.3pp | 70.6%-32.0pp |
| Annual return | 12.87% | 33.24%-20.4pp | 28.84%-16.0pp | 31.26%-18.4pp |
| Employer contribution / active EE | $1,404 | $4,412-68.2% | $6,427-78.2% | $2,728-48.5% |
| Participant deferral / active EE | $1,330 | $7,307-81.8% | $9,133-85.4% | $4,651-71.4% |
| Admin fee / account holder | $423 | $256+65.6% | $13,898-97.0% | $433-2.3% |