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| Provider | Service type | Compensation |
|---|---|---|
Service code 37 · EIN 04-2647786 | Loan Processing | $13,124 |
FIRST ALLIED SECURITIES INC2 years Service code 55 655 WEST BROADWAY 12TH FL · SAN DIEGO, CA 92101 | Other Commissions | $10,061 |
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).
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 | $20,885 | $52,722-60.4% | $90,430-76.9% | $73,412-71.6% |
| Participation rate | 66.3% | 67.7%-1.4pp | 72.7%-6.4pp | 72.2%-5.9pp |
| Annual return | 18.38% | 20.70%-2.3pp | 1293.73%-1275.4pp | 59.30%-40.9pp |
| Employer contribution / active EE | $905 | $1,872-51.7% | $3,262-72.3% | $2,234-59.5% |
| Participant deferral / active EE | $1,874 | $2,810-33.3% | $3,963-52.7% | $3,806-50.8% |
| Admin fee / account holder | $50 | $117-57.0% | $5,613-99.1% | $158-68.2% |