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| Provider | Service type | Compensation |
|---|---|---|
Service code 37 · EIN 04-2647786 | Loan Processing | $150,257 |
Filed as: LOCKTON INVESTMENT ADVISORS LLC Service code 27 · EIN 20-8874282 | Advisory (Plan) | $35,000 |
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.
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 | $23,456 | $48,835-52.0% | $170,435-86.2% | $177,276-86.8% |
| Participation rate | 34.1% | 72.1%-38.0pp | 83.6%-49.5pp | 74.8%-40.8pp |
| Annual return | 22.58% | 19.44%+3.1pp | 205.94%-183.4pp | 21.25%+1.3pp |
| Employer contribution / active EE | $121 | $1,798-93.3% | $5,432-97.8% | $2,479-95.1% |
| Participant deferral / active EE | $1,816 | $2,757-34.1% | $4,939-63.2% | $3,881-53.2% |
| Admin fee / account holder | $60 | $52+16.4% | $13,881-99.6% | $154-60.7% |