Filed July 8, 2021
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Finders' fees / placement fees; Sales... | $87,413 |
LPL FINANCIAL1 year Service code 16 4707 EXECUTIVE DRIVE · SAN DIEGO, CA 92121 | Consulting | $39,524 |
Filed as: GREAT-WEST LIFE & ANNUITY INS. CO. Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $413 |
NATIONAL FINANCIAL SERVICES7+ 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.
Annual investment return is in the bottom quintile of the peer cohort.
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 | $19,971 | $56,540-64.7% | $185,851-89.3% | $86,821-77.0% |
| Participation rate | 65.3% | 65.5%-0.2pp | 81.7%-16.4pp | 72.3%-7.0pp |
| Annual return | 12.09% | 118.20%-106.1pp | 122.11%-110.0pp | 97.94%-85.8pp |
| Employer contribution / active EE | $424 | $1,844-77.0% | $5,168-91.8% | $2,406-82.4% |
| Participant deferral / active EE | $1,382 | $2,555-45.9% | $5,569-75.2% | $4,132-66.6% |
| Admin fee / account holder | $171 | $150+14.2% | $16,245-98.9% | $170+0.8% |