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| Provider | Service type | Compensation |
|---|---|---|
FRANKEL LERNER & O'CONNOR1+ years Filed as: FRANKEL LERNER & OCONNOR Service code 15 · EIN 23-2121805 1600 HORIZON DRIVE, SUITE 100 · CHALFONT, PA 189144100 | Recordkeeping | $29,812 |
GATEWAY ADVISORY, LLC1+ years Service code 33 · EIN 27-1678306 900 SOUTH AVENUE W · WESTFIELD, NJ 070900000 | Securities brokerage | $27,888 |
NATIONWIDE1+ years Service code 26 · EIN 31-1592130 ONE NATIONWIDE PLAZA · COLUMBUS, OH 432150000 | Advisory (Participants) | $13,125 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant 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 | $29,093 | $88,324-67.1% | $115,038-74.7% | $55,191-47.3% |
| Participation rate | 61.1% | 72.5%-11.4pp | 81.4%-20.3pp | 69.2%-8.1pp |
| Annual return | 9.38% | 6.30%+3.1pp | 26.14%-16.8pp | 10.78%-1.4pp |
| Employer contribution / active EE | $0 | $2,805-100.0% | $4,608-100.0% | $1,899-100.0% |
| Participant deferral / active EE | $3,908 | $5,042-22.5% | $6,026-35.1% | $3,046+28.3% |
| Admin fee / account holder | $170 | $105+61.2% | $8,175-97.9% | $91+87.1% |