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| Provider | Service type | Compensation |
|---|---|---|
DIVERSIFIED FINANCIAL MANAGEMENT1+ years Service code 27 · EIN 04-3166804 | Advisory (Plan) | $18,215 |
ASCENSUS LLC1+ years Filed as: ASCENSUS Service code 15 · EIN 11-3665754 | Recordkeeping | $10,198 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $39,178 | $57,108-31.4% | $94,228-58.4% | $52,331-25.1% |
| Participation rate | 64.1% | 72.9%-8.9pp | 78.8%-14.7pp | 68.1%-4.0pp |
| Annual return | -1.49% | 1.47%-3.0pp | 10.68%-12.2pp | 4.54%-6.0pp |
| Employer contribution / active EE | $536 | $1,735-69.1% | $3,587-85.1% | $1,882-71.5% |
| Participant deferral / active EE | $2,831 | $3,040-6.9% | $4,320-34.5% | $3,022-6.3% |
| Admin fee / account holder | $281 | $546-48.5% | $6,269-95.5% | $592-52.4% |