Filed October 4, 2019
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| Provider | Service type | Compensation |
|---|---|---|
Service code 37 · EIN 04-2647786 | Loan Processing | $125,421 |
LPL FINANCIAL1 year Filed as: LPL FINANCIAL LLC Service code 27 · EIN 04-3046611 | Advisory (Plan) | $46,000 |
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.
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 | $34,671 | $32,284+7.4% | $74,551-53.5% | $68,904-49.7% |
| Participation rate | 26.9% | 58.1%-31.1pp | 69.1%-42.2pp | 74.1%-47.2pp |
| Annual return | 15.61% | -4.24%+19.8pp | 32.53%-16.9pp | 1.07%+14.5pp |
| Employer contribution / active EE | $208 | $782-73.4% | $1,961-89.4% | $2,540-91.8% |
| Participant deferral / active EE | $1,124 | $1,518-26.0% | $3,108-63.8% | $4,015-72.0% |
| Admin fee / account holder | $102 | $72+41.1% | $5,059-98.0% | $71+42.8% |