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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY3+ years Service code 28 · EIN 26-4310632 | Investment Management | $350,121 |
INDEPENDENT FINANCIAL PARTNERS3+ years Filed as: SIERRA INVESTMENT PARTNERS, INC Service code 19 101 YGNACIO VALLEY RD STE 300 · WALNUT CREEK, CA 94596 | Securities Custodian | $122,184 |
CAMBIAR INVESTORS LLC3+ years Service code 28 · EIN 84-1596610 | Investment Management | $115,628 |
ASB CAPITAL MANAGEMENT3+ years Service code 28 · EIN 80-0618452 | Investment Management | $100,353 |
KAUFMANN & GOBLE3+ years Filed as: KAUFMANN & GOBLE ASSOCIATES, INC. Service code 15 10 ALMADEN BLVD · SAN JOSE, CA 95113 | Recordkeeping | $91,776 |
UNITED ADMINISTRATIVE SERVICES3+ years Service code 13 · EIN 94-1749354 | Contract Administrator | $76,004 |
MATRIX TRUST COMPANY2 years Service code 18 · EIN 75-3182674 | Custodial (other than securities); In... | $55,108 |
GARCIA HAMILTON & ASSOCIATES3+ years Filed as: GARCIA HAMILTON & ASSOCIATES L.P. Service code 28 · EIN 76-0589652 | Investment Management | $53,902 |
Filed as: NEYHART ANDERSON FLYNN & GROSBOLL Service code 29 · EIN 94-2562134 | Legal | $45,175 |
MILLER KAPLAN ARASE LLP3+ years Service code 10 · EIN 95-2036255 | Accounting | $18,300 |
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.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $0 | $60,545-100.0% | $92,240-100.0% | $69,634-100.0% |
| Participation rate | 0.0% | 72.2%-72.2pp | 76.5%-76.5pp | 70.7%-70.7pp |
| Annual return | 13.09% | 19.71%-6.6pp | 176.29%-163.2pp | 27572.26%-27559.2pp |
| Employer contribution / active EE | $11,538 | $2,633+338.2% | $3,680+213.6% | $2,032+467.8% |
| Participant deferral / active EE | $0 | $2,828-100.0% | $3,897-100.0% | $3,224-100.0% |
| Admin fee / account holder | $0 | $145-100.0% | $5,194-100.0% | $110-100.0% |