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| Provider | Service type | Compensation |
|---|---|---|
ADP BROKER-DEALER5 years Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $3,168 |
ADP BROKER-DEALER8 years Service code 49 · EIN 22-3319984 | Other Services | $0 |
Filed as: B. RILEY WEALTH MANAGEMENT Service code 49 6000 POPLAR AVE · MEMPHIS, TN 38119 | Other Services | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $33,324 | $48,284-31.0% | $67,524-50.6% | $80,911-58.8% |
| Participation rate | 45.7% | 66.4%-20.7pp | 72.9%-27.2pp | 67.6%-21.9pp |
| Annual return | 12.43% | 18.27%-5.8pp | 3519.41%-3507.0pp | 35.63%-23.2pp |
| Employer contribution / active EE | $537 | $2,021-73.4% | $2,734-80.3% | $2,756-80.5% |
| Participant deferral / active EE | $3,154 | $2,927+7.8% | $4,001-21.2% | $4,297-26.6% |
| Admin fee / account holder | $36 | $3,688-99.0% | $4,001-99.1% | $6,935-99.5% |