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| Provider | Service type | Compensation |
|---|---|---|
TRANSAMERICA RETIREMENT SOLUTIONS10+ years Service code 12 · EIN 13-3689044 | Shareholder servicing fees; Direct pa... | $112,290 |
Filed as: LAWLEY RETIREMENT ADVISORS, LLC Service code 16 · EIN 27-4034238 | Consulting | $35,000 |
NATIONAL FINANCIAL SERVICES10+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
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.
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 | $38,447 | $53,204-27.7% | $155,556-75.3% | $200,096-80.8% |
| Participation rate | 33.2% | 64.1%-30.9pp | 78.2%-45.1pp | 72.0%-38.9pp |
| Annual return | 15.31% | 41.02%-25.7pp | 64.84%-49.5pp | 34.26%-19.0pp |
| Employer contribution / active EE | $75 | $1,850-95.9% | $4,675-98.4% | $3,038-97.5% |
| Participant deferral / active EE | $1,159 | $3,163-63.4% | $5,631-79.4% | $5,090-77.2% |
| Admin fee / account holder | $97 | $186-47.7% | $15,885-99.4% | $269-63.9% |