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| Provider | Service type | Compensation |
|---|---|---|
LOCKTON INVESTMENT ADVISORS, LLC1+ years Filed as: LOCKTON FINANCIAL ADVISORS LLC Service code 55 · EIN 20-3247391 | Other Commissions | $21,570 |
Service code 37 · EIN 04-2647786 | Loan Processing | $8,308 |
Service code 55 · EIN 38-1961943 | Other Commissions | $2,504 |
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 | $32,847 | $54,320-39.5% | $67,653-51.4% | $52,331-37.2% |
| Participation rate | 65.8% | 73.6%-7.8pp | 75.7%-9.8pp | 68.1%-2.3pp |
| Annual return | 59.11% | 6.81%+52.3pp | 6625.22%-6566.1pp | 4.54%+54.6pp |
| Employer contribution / active EE | $0 | $1,544-100.0% | $2,266-100.0% | $1,882-100.0% |
| Participant deferral / active EE | $8,396 | $2,950+184.6% | $3,560+135.9% | $3,022+177.8% |
| Admin fee / account holder | $40 | $527-92.5% | $4,821-99.2% | $592-93.3% |