Filed July 8, 2021
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Distribution (12b-1) fees; Recordkeep... | $92,036 |
LPL FINANCIAL1 year Filed as: LPL FINANCIAL SERVICES Service code 16 4707 EXECUTIVE DRIVE · SAN DIEGO, CA 92121 | Consulting | $0 |
Service code 33 · EIN 25-1409618 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES6+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
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 | $17,445 | $52,293-66.6% | $178,503-90.2% | $73,412-76.2% |
| Participation rate | 71.0% | 65.3%+5.7pp | 81.9%-10.9pp | 72.2%-1.2pp |
| Annual return | 12.10% | 34.75%-22.7pp | 151.12%-139.0pp | 59.30%-47.2pp |
| Employer contribution / active EE | $501 | $1,736-71.2% | $5,011-90.0% | $2,234-77.6% |
| Participant deferral / active EE | $1,286 | $2,333-44.9% | $5,202-75.3% | $3,806-66.2% |
| Admin fee / account holder | $179 | $127+40.3% | $13,987-98.7% | $158+13.2% |