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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY10+ years Service code 28 · EIN 24-4310632 | Investment Management | $290,934 |
INDEPENDENT FINANCIAL PARTNERS10+ years Filed as: SIERRA INVESTMENT PARTNERS, INC Service code 28 · EIN 68-0370668 | Investment Management | $272,813 |
GARCIA HAMILTON & ASSOCIATES10+ years Filed as: GARCIA HAMILTON & ASSOCIATES L.P. Service code 28 · EIN 76-0589652 | Investment Management | $163,826 |
ZENITH AMERICAN SOLUTIONS2 years Service code 13 1141 HARBOR BAY PKWY STE 100 · ALAMEDA, CA 94502 | Contract Administrator | $154,401 |
NWPS3 years Service code 15 · EIN 91-2090931 | Recordkeeping | $145,944 |
IBEW-NECA SERVICE CENTER2 years Filed as: IBEW LOCAL 340 Service code 49 10240 SYSYTEMS PKWY · SACRAMENTO, CA 95827 | Other Services | $68,747 |
MATRIX TRUST COMPANY9 years Service code 19 · EIN 75-3182674 | Securities Custodian | $65,603 |
ASB CAPITAL MANAGEMENT10+ years Service code 28 · EIN 80-0618452 | Investment Management | $63,265 |
NEYHART, ANDERSON, FLYNN & GROSBOLL10+ years Filed as: NEYHART ANDERSON FLYNN & GROSBOLL Service code 29 · EIN 94-2576729 | Legal | $49,983 |
MILLER KAPLAN ARASE LLP10+ years Service code 10 · EIN 95-2036255 | Accounting | $30,000 |
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.)
Annual investment return is in the bottom quintile of the peer cohort.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $119,583 | $241,850-50.6% | $102,437+16.7% | $200,096-40.2% |
| Participation rate | 100.0% | 78.3%+21.7pp | 74.5%+25.5pp | 72.0%+28.0pp |
| Annual return | 9.20% | 17.67%-8.5pp | 24.95%-15.7pp | 34.26%-25.1pp |
| Employer contribution / active EE | $16,964 | $4,253+298.9% | $3,871+338.3% | $3,038+458.5% |
| Participant deferral / active EE | $0 | $3,961-100.0% | $5,060-100.0% | $5,090-100.0% |
| Admin fee / account holder | $766 | $288+166.0% | $8,388-90.9% | $269+184.5% |