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| Provider | Service type | Compensation |
|---|---|---|
Filed as: VOYA FINANCIAL ADVISORS INC Service code 55 · EIN 41-0945505 | Other Commissions | $8,193 |
Service code 37 · EIN 04-2647786 | Loan Processing | $1,106 |
NATIONAL FINANCIAL SERVICES1+ years Filed as: NATIONAL FINANCIAL SERVICES LLC Service code 61 · EIN 04-3523567 | Finders' fees / placement fees | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant 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 | $43,568 | $43,717-0.3% | $81,473-46.5% | $77,958-44.1% |
| Participation rate | 7.8% | 42.5%-34.7pp | 68.0%-60.1pp | 71.6%-63.8pp |
| Annual return | 19.26% | 23.83%-4.6pp | 38.78%-19.5pp | 20.87%-1.6pp |
| Employer contribution / active EE | $0 | $919-100.0% | $2,568-100.0% | $2,310-100.0% |
| Participant deferral / active EE | $440 | $1,783-75.3% | $3,537-87.6% | $3,537-87.6% |
| Admin fee / account holder | $9 | $108-91.2% | $4,561-99.8% | $97-90.3% |