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| Provider | Service type | Compensation |
|---|---|---|
MMA SECURITIES LLC2 years Filed as: MMA SECURITIES, LLC Service code 15 · EIN 22-3570392 | Recordkeeping | $27,134 |
ADP BROKER-DEALER3 years Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $21,318 |
ADP BROKER-DEALER8+ years Service code 59 · EIN 22-3319984 | Shareholder Servicing | $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.)
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 signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $34,297 | $65,125-47.3% | $143,797-76.1% | $66,949-48.8% |
| Participation rate | 37.8% | 65.2%-27.4pp | 80.3%-42.5pp | 69.8%-32.0pp |
| Annual return | -18.13% | -11.13%-7.0pp | -0.04%-18.1pp | 1.57%-19.7pp |
| Employer contribution / active EE | $0 | $2,362-100.0% | $4,952-100.0% | $2,545-100.0% |
| Participant deferral / active EE | $3,849 | $2,920+31.8% | $5,638-31.7% | $4,239-9.2% |
| Admin fee / account holder | $495 | $503-1.6% | $14,679-96.6% | $594-16.7% |