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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Float revenue; Shareholder servicing ... | $114,151 |
RAYMOND JAMES FINANCIAL SERVICES3+ years Service code 16 · EIN 59-1531281 | Consulting | $65,000 |
RSM US LLP2 years Service code 29 · EIN 42-0714325 | Legal | $33,562 |
NATIONAL FINANCIAL SERVICES3+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $243,201 | $81,537+198.3% | $149,721+62.4% | $69,631+249.3% |
| Participation rate | 65.7% | 86.1%-20.4pp | 87.1%-21.3pp | 70.7%-4.9pp |
| Annual return | 15.37% | 22.79%-7.4pp | 1501.67%-1486.3pp | 27571.02%-27555.7pp |
| Employer contribution / active EE | $3,894 | $3,239+20.2% | $5,444-28.5% | $2,032+91.6% |
| Participant deferral / active EE | $11,331 | $4,994+126.9% | $6,568+72.5% | $3,224+251.5% |
| Admin fee / account holder | $455 | $107+326.2% | $11,282-96.0% | $110+312.4% |