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| Provider | Service type | Compensation |
|---|---|---|
Filed as: PRINCIPAL SECURITIES INC Service code 55 · EIN 42-0941553 | Other Commissions | $27,790 |
Service code 37 · EIN 04-2647786 | Loan Processing | $10,068 |
Service code 10 · EIN 88-0265237 | Accounting | $5,900 |
BDO USA, LLP1 year Filed as: BDO USA LLP Service code 10 · EIN 13-5381590 | Accounting | $5,000 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant is in the bottom quintile of the peer cohort.
Annual investment return is in the bottom quintile of the peer cohort.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $46,134 | $54,121-14.8% | $134,155-65.6% | $73,412-37.2% |
| Participation rate | 31.8% | 64.4%-32.6pp | 72.2%-40.4pp | 72.2%-40.4pp |
| Annual return | 9.48% | -312.52%+322.0pp | 36.34%-26.9pp | 59.30%-49.8pp |
| Employer contribution / active EE | $77 | $1,402-94.5% | $3,705-97.9% | $2,234-96.5% |
| Participant deferral / active EE | $1,019 | $2,844-64.2% | $3,500-70.9% | $3,806-73.2% |
| Admin fee / account holder | $51 | $132-61.8% | $6,685-99.2% | $158-68.0% |