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| Provider | Service type | Compensation |
|---|---|---|
Filed as: RAYMOND JAMES & ASSOCIATES INC Service code 55 · EIN 59-1237041 | Other Commissions | $22,514 |
Service code 37 · EIN 04-2647786 | Loan Processing | $2,813 |
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.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $31,102 | $39,948-22.1% | $89,435-65.2% | $73,412-57.6% |
| Participation rate | 17.4% | 50.4%-33.0pp | 68.0%-50.6pp | 72.2%-54.8pp |
| Annual return | 15.24% | 50.12%-34.9pp | 245.55%-230.3pp | 59.30%-44.1pp |
| Employer contribution / active EE | $59 | $1,200-95.0% | $2,587-97.7% | $2,234-97.3% |
| Participant deferral / active EE | $616 | $2,193-71.9% | $3,890-84.2% | $3,806-83.8% |
| Admin fee / account holder | $13 | $134-90.3% | $4,884-99.7% | $158-91.8% |