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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Sales loads (front end and deferred);... | $61,224 |
Filed as: PENSIONMARK FINANCIAL GROUP Service code 27 · EIN 61-1758632 | Advisory (Plan) | $35,343 |
MID ATLANTIC CAPITAL CORPORATION4+ years Service code 33 · EIN 25-1409618 | Securities brokerage; Securities brok... | $0 |
NATIONAL FINANCIAL SERVICES4+ 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.
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).
Plan reported corrective distributions (failed ADP/ACP testing).
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 | $38,894 | $37,196+4.6% | $154,108-74.8% | $55,725-30.2% |
| Participation rate | 42.1% | 64.1%-22.0pp | 83.0%-41.0pp | 70.9%-28.8pp |
| Annual return | -6.14% | 1319.68%-1325.8pp | 735.21%-741.3pp | 244.93%-251.1pp |
| Employer contribution / active EE | $185 | $1,614-88.6% | $5,298-96.5% | $2,078-91.1% |
| Participant deferral / active EE | $1,030 | $2,068-50.2% | $5,081-79.7% | $3,356-69.3% |
| Admin fee / account holder | $302 | $102+197.5% | $13,411-97.7% | $115+162.4% |