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| Provider | Service type | Compensation |
|---|---|---|
DIVERSIFIED FINANCIAL MANAGEMENT2+ years Service code 27 · EIN 04-3166804 | Advisory (Plan) | $19,138 |
ASCENSUS LLC2+ years Filed as: ASCENSUS Service code 15 · EIN 11-3665754 | Recordkeeping | $9,883 |
Filed as: AFCA ADMIN FEE Service code 55 | Other Commissions | $40 |
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 | $40,927 | $63,924-36.0% | $108,582-62.3% | $55,167-25.8% |
| Participation rate | 64.4% | 74.3%-10.0pp | 79.6%-15.2pp | 69.0%-4.6pp |
| Annual return | 8.92% | 15.31%-6.4pp | -51.70%+60.6pp | 169.23%-160.3pp |
| Employer contribution / active EE | $544 | $1,879-71.0% | $3,758-85.5% | $1,963-72.3% |
| Participant deferral / active EE | $3,016 | $3,067-1.7% | $4,311-30.0% | $3,054-1.3% |
| Admin fee / account holder | $285 | $618-53.9% | $7,645-96.3% | $504-43.4% |