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| Provider | Service type | Compensation |
|---|---|---|
LPL FINANCIAL1+ years Filed as: LPL FINANCIAL LLC Service code 27 PO BOX 509026 · SAN DIEGO, CA 921509026 | Advisory (Plan) | $10,403 |
Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $9,631 |
EMJAY CORPORATION1+ years Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $294 |
Filed as: ADVISED ASSET GROUP Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Investment Management | $187 |
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.)
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 | $128,527 | $54,380+136.3% | $68,509+87.6% | $59,633+115.5% |
| Participation rate | 35.7% | 70.2%-34.5pp | 74.7%-39.0pp | 68.7%-33.0pp |
| Annual return | -1.64% | 2.83%-4.5pp | 8.27%-9.9pp | 2041.45%-2043.1pp |
| Employer contribution / active EE | $512 | $1,539-66.7% | $2,278-77.5% | $2,203-76.7% |
| Participant deferral / active EE | $3,788 | $2,643+43.3% | $3,382+12.0% | $3,192+18.7% |
| Admin fee / account holder | $380 | $3,885-90.2% | $5,275-92.8% | $4,297-91.2% |