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| Provider | Service type | Compensation |
|---|---|---|
MMA SECURITIES LLC1 year Filed as: MMC SECURITIES LLC Service code 27 · EIN 06-1685865 | Advisory (Plan) | $87,512 |
Service code 37 · EIN 04-2647786 | Loan Processing | $54,717 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
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 | $42,834 | $75,388-43.2% | $123,549-65.3% | $55,725-23.1% |
| Participation rate | 65.6% | 75.7%-10.0pp | 82.3%-16.7pp | 70.9%-5.2pp |
| Annual return | -1.13% | 4.48%-5.6pp | 119.20%-120.3pp | 244.93%-246.1pp |
| Employer contribution / active EE | $1,002 | $3,063-67.3% | $4,628-78.4% | $2,078-51.8% |
| Participant deferral / active EE | $5,619 | $5,651-0.6% | $6,426-12.6% | $3,356+67.5% |
| Admin fee / account holder | $159 | $120+32.7% | $9,284-98.3% | $115+38.0% |