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| Provider | Service type | Compensation |
|---|---|---|
LPL FINANCIAL2 years Filed as: LPL FINANCIAL LLC - RPCP Service code 26 · EIN 04-3046611 | Advisory (Participants) | $23,794 |
Filed as: JOHN HANCOCK LIFE INS CO OF NY Service code 15 · EIN 13-3646501 | Recordkeeping | $1,044 |
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.)
Annual investment return is in the bottom quintile of the peer cohort.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $119,744 | $50,199+138.5% | $69,884+71.3% | $66,938+78.9% |
| Participation rate | 67.6% | 66.3%+1.3pp | 70.5%-2.9pp | 69.8%-2.2pp |
| Annual return | -18.66% | -13.85%-4.8pp | 190.81%-209.5pp | 1.58%-20.2pp |
| Employer contribution / active EE | $1,160 | $1,864-37.8% | $2,560-54.7% | $2,545-54.4% |
| Participant deferral / active EE | $6,185 | $3,112+98.7% | $3,848+60.7% | $4,238+45.9% |
| Admin fee / account holder | $543 | $600-9.4% | $6,266-91.3% | $594-8.5% |