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| Provider | Service type | Compensation |
|---|---|---|
Filed as: AXIOM INVESTMENT MANAGEMENT LLC Service code 15 · EIN 20-5412674 | Recordkeeping | $178,366 |
ADP BROKER-DEALER1 year Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $5,684 |
TD AMERITRADE, INC.4+ years Service code 33 · EIN 82-0543156 | Distribution (12b-1) fees; Securities... | $381 |
ADP BROKER-DEALER4+ years Service code 59 · EIN 22-3319984 | Shareholder Servicing | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant 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.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $80,490 | $100,801-20.1% | $149,715-46.2% | $73,412+9.6% |
| Participation rate | 52.7% | 77.7%-25.0pp | 82.5%-29.7pp | 72.2%-19.4pp |
| Annual return | 17.37% | 265.34%-248.0pp | 276.66%-259.3pp | 59.30%-41.9pp |
| Employer contribution / active EE | $0 | $3,312-100.0% | $4,645-100.0% | $2,234-100.0% |
| Participant deferral / active EE | $2,703 | $6,404-57.8% | $6,842-60.5% | $3,806-29.0% |
| Admin fee / account holder | $456 | $181+152.0% | $9,310-95.1% | $158+188.5% |