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| Provider | Service type | Compensation |
|---|---|---|
SECURITIES AMERICA INC5+ years Filed as: M&T SECURITIES Service code 55 · EIN 16-1263079 | Other Commissions | $34,353 |
Service code 37 · EIN 04-2647786 | Loan Processing | $6,703 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
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 declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $34,931 | $48,471-27.9% | $182,558-80.9% | $67,582-48.3% |
| Participation rate | 63.3% | 67.2%-3.9pp | 78.0%-14.7pp | 71.3%-8.0pp |
| Annual return | 19.08% | 31.08%-12.0pp | 148.59%-129.5pp | 378.57%-359.5pp |
| Employer contribution / active EE | $901 | $1,461-38.4% | $4,076-77.9% | $2,148-58.1% |
| Participant deferral / active EE | $1,133 | $3,324-65.9% | $5,526-79.5% | $3,539-68.0% |
| Admin fee / account holder | $14 | $151-90.5% | $8,594-99.8% | $142-89.9% |