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| Provider | Service type | Compensation |
|---|---|---|
OPPENHEIMER1 year Filed as: OPPENHEIMER & CO. INC. Service code 15 · EIN 13-5657518 | Recordkeeping | $38,074 |
ADP BROKER-DEALER1 year Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $16,451 |
PRICEKUBECKA PLLC1 year Filed as: PRICEKUBECKA, PLLC Service code 15 · EIN 75-2783674 | Recordkeeping | $9,250 |
ADP BROKER-DEALER1 year Service code 59 · EIN 22-3319984 | Shareholder Servicing | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $35,540 | $101,653-65.0% | $147,080-75.8% | $74,459-52.3% |
| Participation rate | 55.1% | 75.6%-20.4pp | 82.2%-27.1pp | 67.2%-12.1pp |
| Annual return | 17.96% | 8754.98%-8737.0pp | 420.17%-402.2pp | 1369.70%-1351.7pp |
| Employer contribution / active EE | $0 | $3,813-100.0% | $4,933-100.0% | $2,626-100.0% |
| Participant deferral / active EE | $4,418 | $7,304-39.5% | $8,066-45.2% | $4,350+1.6% |
| Admin fee / account holder | $465 | $1,752-73.4% | $12,989-96.4% | $1,945-76.1% |