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| Provider | Service type | Compensation |
|---|---|---|
Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $11,414 |
LOCKTON INVESTMENT ADVISORS, LLC1+ years Filed as: LOCKTON FINANCIAL ADVISORS LLC Service code 55 444 W 47TH ST STE 900 · KANSAS CITY, MO 64112 | Other Commissions | $4,966 |
Filed as: ADVISED ASSET GROUP Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Investment Management | $4,142 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $28,785 | $22,714+26.7% | $59,496-51.6% | $55,191-47.8% |
| Participation rate | 10.5% | 37.5%-27.0pp | 54.6%-44.1pp | 69.2%-58.7pp |
| Annual return | -1.38% | -44.01%+42.6pp | 182.05%-183.4pp | 10.78%-12.2pp |
| Employer contribution / active EE | $413 | $418-1.1% | $1,153-64.1% | $1,899-78.2% |
| Participant deferral / active EE | $661 | $843-21.6% | $1,829-63.8% | $3,046-78.3% |
| Admin fee / account holder | $420 | $83+404.5% | $2,232-81.2% | $91+363.1% |