Filed July 8, 2021
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Recordkeeping fees; Recordkeeping and... | $45,128 |
DIVERSIFIED TRUST COMPANY1+ years Filed as: DIVERSIFIED INVESTMENT ADVISORS Service code 16 | Consulting | $16,625 |
LPL FINANCIAL1+ years Filed as: LPL FINANCIAL CORP Service code 16 PO BOX 509266 · SAN DIEGO, CA 92150 | Consulting | $0 |
MID ATLANTIC CAPITAL CORPORATION1+ years Filed as: MID ATLANTIC CAPITAL CORP Service code 33 · EIN 25-1409618 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES1+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
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 | $13,234 | $37,117-64.3% | $147,617-91.0% | $55,191-76.0% |
| Participation rate | 40.3% | 63.6%-23.3pp | 84.6%-44.3pp | 69.2%-28.9pp |
| Annual return | -1.27% | 3.44%-4.7pp | 61.98%-63.3pp | 10.78%-12.0pp |
| Employer contribution / active EE | $191 | $1,620-88.2% | $5,564-96.6% | $1,899-90.0% |
| Participant deferral / active EE | $577 | $1,985-70.9% | $4,895-88.2% | $3,046-81.0% |
| Admin fee / account holder | $148 | $86+73.5% | $11,612-98.7% | $91+63.5% |