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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY5+ years Service code 28 · EIN 26-4310632 | Investment Management | $404,555 |
INDEPENDENT FINANCIAL PARTNERS5+ years Filed as: SIERRA INVESTMENT PARTNERS, INC Service code 28 101 YGNACIO VALLEY RD STE 300 · WALNUT CREEK, CA 94596 | Investment Management | $193,716 |
GARCIA HAMILTON & ASSOCIATES5+ years Filed as: GARCIA HAMILTON & ASSOCIATES L.P. Service code 28 · EIN 76-0589652 | Investment Management | $141,157 |
CAMBIAR INVESTORS LLC5+ years Service code 28 · EIN 84-1596610 | Investment Management | $122,736 |
ASB CAPITAL MANAGEMENT5+ years Service code 28 · EIN 80-0618452 | Investment Management | $118,735 |
UNITED ADMINISTRATIVE SERVICES5+ years Service code 13 · EIN 94-1749354 | Contract Administrator | $91,932 |
MATRIX TRUST COMPANY4 years Service code 18 · EIN 75-3182674 | Participant communication; Custodial ... | $61,895 |
Filed as: NEYHART ANDERSON FLYNN & GROSBOLL Service code 29 · EIN 94-2562134 | Legal | $32,400 |
MILLER KAPLAN ARASE LLP5+ years Service code 10 · EIN 95-2036255 | Accounting | $19,200 |
KAUFMANN & GOBLE5+ years Filed as: KAUFMANN & GOBLE ASSOCIATES, INC. Service code 15 10 ALMADEN BLVD · SAN JOSE, CA 95113 | Recordkeeping | $10,155 |
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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Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $100,975 | $66,051+52.9% | $92,916+8.7% | $77,775+29.8% |
| Participation rate | 100.0% | 81.0%+19.0pp | 76.0%+24.0pp | 73.2%+26.8pp |
| Annual return | 19.53% | 20.69%-1.2pp | 109.45%-89.9pp | 32.58%-13.0pp |
| Employer contribution / active EE | $12,347 | $3,426+260.4% | $3,654+237.9% | $2,504+393.1% |
| Participant deferral / active EE | $0 | $3,013-100.0% | $4,238-100.0% | $3,966-100.0% |
| Admin fee / account holder | $621 | $148+320.1% | $5,796-89.3% | $100+520.5% |