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| Provider | Service type | Compensation |
|---|---|---|
INDEPENDENT FINANCIAL GROUP LLC6+ years Service code 55 | Other Commissions | $16,220 |
Filed as: ADVISED ASSETS GROUP Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Investment Management | $11,038 |
ACTUARIAL BENEFITS CORP6+ years Filed as: ACTUARIAL BENEFITS CORP. Service code 13 2790 SKYPARK DR STE 300 · TORRANCE, CA 90505 | Contract Administrator | $8,255 |
Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD, CO 80111 | Recordkeeping Fees | $513 |
INDEPENDENT FINANCIAL GROUP LLC6+ years Filed as: INDEPENDENT FINANCIAL GROUP Service code 55 12636 HIGH BLUFF DRIVE · SAN DIEGO, CA 92130 | Other Commissions | $0 |
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.
Annual investment return is in the bottom quintile of the peer cohort.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $110,338 | $99,957+10.4% | $149,745-26.3% | $73,497+50.1% |
| Participation rate | 17.1% | 75.7%-58.6pp | 82.5%-65.4pp | 70.7%-53.6pp |
| Annual return | 12.04% | 53.87%-41.8pp | 276.72%-264.7pp | 28.51%-16.5pp |
| Employer contribution / active EE | $0 | $3,191-100.0% | $4,646-100.0% | $2,270-100.0% |
| Participant deferral / active EE | $1,971 | $6,073-67.5% | $6,843-71.2% | $3,740-47.3% |
| Admin fee / account holder | $231 | $551-58.1% | $9,312-97.5% | $513-55.0% |