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| Provider | Service type | Compensation |
|---|---|---|
Service code 37 · EIN 04-2647786 | Loan Processing | $116,674 |
Filed as: LOCKTON FINANCIAL ADVISORS LLC Service code 27 · EIN 20-3247391 | Advisory (Plan) | $35,000 |
BAKER TILLY US, LLP4+ years Filed as: MONTGOMERY COSCIA GREILICH LLP Service code 10 · EIN 75-2919818 | Accounting | $12,447 |
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 | $20,859 | $44,007-52.6% | $154,110-86.5% | $68,904-69.7% |
| Participation rate | 38.6% | 70.0%-31.5pp | 83.0%-44.5pp | 74.1%-35.6pp |
| Annual return | 4.57% | 8.15%-3.6pp | 735.22%-730.7pp | 1.07%+3.5pp |
| Employer contribution / active EE | $122 | $1,732-93.0% | $5,298-97.7% | $2,540-95.2% |
| Participant deferral / active EE | $1,850 | $2,813-34.2% | $5,081-63.6% | $4,015-53.9% |
| Admin fee / account holder | $39 | $65-40.4% | $13,412-99.7% | $71-45.9% |