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| Provider | Service type | Compensation |
|---|---|---|
LPL FINANCIAL5 years Filed as: LPL FINANCIAL LLC - RPCP Service code 26 · EIN 04-3046611 | Advisory (Participants) | $36,518 |
Filed as: JOHN HANCOCK Service code 15 · EIN 01-0233346 | Recordkeeping | $1,734 |
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.)
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 | $78,327 | $79,519-1.5% | $95,956-18.4% | $73,412+6.7% |
| Participation rate | 64.5% | 81.2%-16.6pp | 77.1%-12.5pp | 72.2%-7.6pp |
| Annual return | 39.28% | 19.20%+20.1pp | 91.63%-52.3pp | 59.30%-20.0pp |
| Employer contribution / active EE | $1,695 | $2,048-17.2% | $2,541-33.3% | $2,234-24.1% |
| Participant deferral / active EE | $5,056 | $4,138+22.2% | $4,167+21.4% | $3,806+32.9% |
| Admin fee / account holder | $446 | $184+142.0% | $6,797-93.4% | $158+182.6% |