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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Finders' fees / placement fees; Inves... | $69,824 |
LPL FINANCIAL5+ years Filed as: LPL HOLDINGS, INC. Service code 16 · EIN 04-3046611 | Consulting | $34,761 |
JANOVER LLC4 years Service code 10 · EIN 11-3258497 | Accounting | $12,500 |
NATIONAL FINANCIAL SERVICES5+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Employer contribution per participant is in the bottom quintile of the peer cohort.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Annual investment return is in the bottom quintile of the peer cohort.
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 | $58,090 | $69,231-16.1% | $91,994-36.9% | $67,579-14.0% |
| Participation rate | 97.4% | 78.9%+18.5pp | 78.6%+18.8pp | 71.3%+26.1pp |
| Annual return | 17.78% | 32.03%-14.2pp | 69.04%-51.3pp | 378.56%-360.8pp |
| Employer contribution / active EE | $495 | $2,284-78.3% | $3,453-85.7% | $2,148-77.0% |
| Participant deferral / active EE | $3,243 | $5,854-44.6% | $5,924-45.2% | $3,539-8.4% |
| Admin fee / account holder | $336 | $107+213.2% | $7,744-95.7% | $142+136.5% |