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| Provider | Service type | Compensation |
|---|---|---|
Filed as: TRANSAMERICA LIFE INSURANCE COMPANY Service code 15 · EIN 36-6071399 | Recordkeeping | $79,809 |
N.A. FALCONE & ASSOCIATES, INC.1+ years Service code 15 · EIN 23-2773128 | Recordkeeping | $5,386 |
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.
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 | $38,670 | $27,330+41.5% | $67,711-42.9% | $55,191-29.9% |
| Participation rate | 33.7% | 47.5%-13.8pp | 67.5%-33.8pp | 69.2%-35.4pp |
| Annual return | -3.78% | 8.81%-12.6pp | 25.41%-29.2pp | 10.78%-14.6pp |
| Employer contribution / active EE | $939 | $855+9.8% | $2,559-63.3% | $1,899-50.6% |
| Participant deferral / active EE | $1,647 | $1,709-3.6% | $3,585-54.1% | $3,046-45.9% |
| Admin fee / account holder | $328 | $109+199.9% | $4,255-92.3% | $91+261.0% |