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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY4+ years Service code 28 · EIN 26-4310632 | Investment Management | $394,535 |
INDEPENDENT FINANCIAL PARTNERS4+ years Filed as: SIERRA INVESTMENT PARTNERS, INC Service code 28 101 YGNACIO VALLEY RD STE 300 · WALNUT CREEK, CA 94596 | Investment Management | $168,463 |
CAMBIAR INVESTORS LLC4+ years Service code 28 · EIN 84-1596610 | Investment Management | $126,406 |
ASB CAPITAL MANAGEMENT4+ years Service code 28 · EIN 80-0618452 | Investment Management | $112,947 |
KAUFMANN & GOBLE4+ years Filed as: KAUFMANN & GOBLE ASSOCIATES, INC. Service code 15 10 ALMADEN BLVD · SAN JOSE, CA 95113 | Recordkeeping | $110,943 |
GARCIA HAMILTON & ASSOCIATES4+ years Filed as: GARCIA HAMILTON & ASSOCIATES L.P. Service code 28 · EIN 76-0589652 | Investment Management | $106,511 |
UNITED ADMINISTRATIVE SERVICES4+ years Service code 13 · EIN 94-1749354 | Contract Administrator | $80,256 |
MATRIX TRUST COMPANY3 years Service code 18 · EIN 75-3182674 | Custodial (other than securities); Pa... | $59,469 |
Filed as: NEYHART ANDERSON FLYNN & GROSBOLL Service code 29 · EIN 94-2562134 | Legal | $44,700 |
MILLER KAPLAN ARASE LLP4+ years Service code 10 · EIN 95-2036255 | Accounting | $19,200 |
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 | $56,443-100.0% | $83,831-100.0% | $55,727-100.0% |
| Participation rate | 0.0% | 72.0%-72.0pp | 76.1%-76.1pp | 70.9%-70.9pp |
| Annual return | -3.49% | 393.67%-397.2pp | 850.99%-854.5pp | 244.94%-248.4pp |
| Employer contribution / active EE | $11,870 | $2,682+342.6% | $3,631+226.9% | $2,078+471.1% |
| Participant deferral / active EE | $0 | $2,965-100.0% | $4,082-100.0% | $3,356-100.0% |
| Admin fee / account holder | $0 | $156-100.0% | $5,479-100.0% | $115-100.0% |