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| Provider | Service type | Compensation |
|---|---|---|
ADP BROKER-DEALER1 year Filed as: ADP, LLC Service code 15 · EIN 13-3036745 | Recordkeeping | $1,500 |
TD AMERITRADE, INC.1 year Service code 33 · EIN 82-0543156 | Securities brokerage; Distribution (1... | $19 |
ADP BROKER-DEALER1 year Service code 59 · EIN 22-3319984 | Shareholder Servicing | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $33,316 | $74,024-55.0% | $78,002-57.3% | $57,658-42.2% |
| Participation rate | 39.6% | 79.7%-40.2pp | 75.5%-36.0pp | 70.2%-30.7pp |
| Annual return | 7.06% | 12.14%-5.1pp | 425.99%-418.9pp | 5.13%+1.9pp |
| Employer contribution / active EE | $832 | $2,365-64.8% | $2,470-66.3% | $1,974-57.8% |
| Participant deferral / active EE | $1,786 | $3,533-49.4% | $3,497-48.9% | $3,061-41.6% |
| Admin fee / account holder | $18 | $93-81.0% | $5,481-99.7% | $95-81.2% |