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| Provider | Service type | Compensation |
|---|---|---|
Service code 37 · EIN 04-2647786 | Loan Processing | $18,509 |
FIRST CLEARING LLC1+ years Service code 55 · EIN 23-2384840 | Other Commissions | $17,065 |
NATIONAL FINANCIAL SERVICES1+ years Filed as: NATIONAL FINANCIAL SERVICES LLC Service code 61 · EIN 04-3523567 | Finders' fees / placement fees | $0 |
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.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
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 | $8,720 | $38,925-77.6% | $73,836-88.2% | $55,191-84.2% |
| Participation rate | 57.6% | 66.0%-8.5pp | 73.4%-15.9pp | 69.2%-11.6pp |
| Annual return | 46.56% | 6.31%+40.3pp | 2268.06%-2221.5pp | 10.78%+35.8pp |
| Employer contribution / active EE | $6 | $1,695-99.7% | $2,787-99.8% | $1,899-99.7% |
| Participant deferral / active EE | $3,161 | $2,351+34.5% | $3,583-11.8% | $3,046+3.8% |
| Admin fee / account holder | $22 | $83-72.9% | $4,882-99.5% | $91-75.3% |