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| Provider | Service type | Compensation |
|---|---|---|
AE WEALTH MANAGEMENT LLC3 years Service code 26 · EIN 36-4824075 | Advisory (Participants) | $77,531 |
Filed as: JOHN HANCOCK USA Service code 15 · EIN 01-0233346 | Recordkeeping | $16,162 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant 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 signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $37,372 | $120,450-69.0% | $159,487-76.6% | $93,010-59.8% |
| Participation rate | 48.2% | 78.0%-29.7pp | 82.8%-34.6pp | 73.9%-25.7pp |
| Annual return | 18.61% | 27.11%-8.5pp | 263.71%-245.1pp | 158.70%-140.1pp |
| Employer contribution / active EE | $750 | $3,526-78.7% | $4,831-84.5% | $2,705-72.3% |
| Participant deferral / active EE | $2,609 | $7,283-64.2% | $7,354-64.5% | $4,561-42.8% |
| Admin fee / account holder | $179 | $137+30.7% | $10,804-98.3% | $152+17.8% |