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| Provider | Service type | Compensation |
|---|---|---|
LPL FINANCIAL2 years Service code 28 · EIN 95-2834236 120 S. WARNER RD., SUITE 201 · KING OF PRUSSIA, PA 19406 | Investment Management | $7,055 |
EMPLOYEE FIDUCIARY, LLC2 years Filed as: EMPLOYEE FIDUCIARY Service code 15 · EIN 61-1579239 250 STATE STREET · MOBILE, AL 36603 | Recordkeeping | $6,082 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
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).
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 | $34,268 | $66,302-48.3% | $110,243-68.9% | $56,287-39.1% |
| Participation rate | 21.1% | 74.9%-53.9pp | 79.8%-58.8pp | 69.9%-48.8pp |
| Annual return | -7.41% | -1.18%-6.2pp | 314.76%-322.2pp | -9.96%+2.5pp |
| Employer contribution / active EE | $0 | $2,047-100.0% | $3,827-100.0% | $2,111-100.0% |
| Participant deferral / active EE | $836 | $3,381-75.3% | $4,672-82.1% | $3,350-75.1% |
| Admin fee / account holder | $337 | $698-51.7% | $8,548-96.1% | $521-35.3% |