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| Provider | Service type | Compensation |
|---|---|---|
Filed as: ADVISED ASSET GROUP Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Investment Management | $24,875 |
Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $19,789 |
SHEFFLER & MARTIN, INC.1+ years Service code 13 4141 JUTLAND DRIVE, STE 210 · SAN DIEGO, CA 92117 | Contract Administrator | $12,494 |
MORGAN STANLEY SMITH BARNEY1+ years Filed as: MORGAN STANLEY INSURANCE SERVICES Service code 55 | Other Commissions | $12,202 |
MORGAN STANLEY SMITH BARNEY1+ years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 55 | Other Commissions | $4,151 |
MORGAN STANLEY SMITH BARNEY1+ years Filed as: MORGAN STANLEY INSURANCE SVCS INC Service code 55 ANNUITY AND INSURANCE OPERATIONS · NEW YORK, NY 10004 | Other Commissions | $0 |
MORGAN STANLEY SMITH BARNEY1+ years Service code 55 ANNUITY AND INSURANCE SERVICES · NEW YORK, NY 10004 | Other Commissions | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $42,212 | $22,714+85.8% | $59,496-29.1% | $55,191-23.5% |
| Participation rate | 14.0% | 37.5%-23.5pp | 54.6%-40.6pp | 69.2%-55.2pp |
| Annual return | -1.59% | -44.01%+42.4pp | 182.05%-183.6pp | 10.78%-12.4pp |
| Employer contribution / active EE | $65 | $418-84.5% | $1,153-94.4% | $1,899-96.6% |
| Participant deferral / active EE | $554 | $843-34.3% | $1,829-69.7% | $3,046-81.8% |
| Admin fee / account holder | $334 | $83+301.0% | $2,232-85.0% | $91+268.1% |