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| Provider | Service type | Compensation |
|---|---|---|
ADP BROKER-DEALER7 years Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $45,341 |
OCONNOR DAVIES,3 years Service code 15 · EIN 27-1728945 | Recordkeeping | $31,000 |
ADP BROKER-DEALER8+ years Service code 49 · EIN 22-3319984 | Other Services | $0 |
Filed as: MML INVESTOR SERVICES, LLC Service code 49 65 LASALLE RD · WEST HARTFORD, CT 06107 | Other Services | $0 |
Counterparties on defaulted loans (Part 1), defaulted leases (Part 2), and non-exempt prohibited transactions (Part 3). Presence of any row warrants fiduciary review.
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Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $11,179 | $30,147-62.9% | $58,544-80.9% | $80,149-86.1% |
| Participation rate | 9.5% | 34.4%-24.9pp | 50.9%-41.4pp | 72.9%-63.5pp |
| Annual return | 18.43% | 21.97%-3.5pp | 4249.56%-4231.1pp | 40.39%-22.0pp |
| Employer contribution / active EE | $0 | $528-100.0% | $1,053-100.0% | $2,977-100.0% |
| Participant deferral / active EE | $370 | $1,249-70.3% | $1,923-80.7% | $5,015-92.6% |
| Admin fee / account holder | $241 | $195+23.7% | $2,520-90.4% | $145+66.1% |