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| Provider | Service type | Compensation |
|---|---|---|
LPL FINANCIAL1+ years Filed as: LPL FINANCIAL CORPORATION Service code 55 · EIN 95-2834236 | Other Commissions | $13,776 |
FINANCIAL TELESIS1+ years Service code 55 · EIN 68-0279977 | Other Commissions | $2,262 |
Service code 37 · EIN 04-2647786 | Loan Processing | $1,405 |
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 declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $56,193 | $88,324-36.4% | $115,038-51.2% | $55,191+1.8% |
| Participation rate | 28.9% | 72.5%-43.6pp | 81.4%-52.4pp | 69.2%-40.2pp |
| Annual return | 0.12% | 6.30%-6.2pp | 26.14%-26.0pp | 10.78%-10.7pp |
| Employer contribution / active EE | $3 | $2,805-99.9% | $4,608-99.9% | $1,899-99.9% |
| Participant deferral / active EE | $5,985 | $5,042+18.7% | $6,026-0.7% | $3,046+96.5% |
| Admin fee / account holder | $12 | $105-88.5% | $8,175-99.9% | $91-86.7% |