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| Provider | Service type | Compensation |
|---|---|---|
ADP BROKER-DEALER1 year Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $14,232 |
Filed as: PENSIONMARK FINANCIAL GROUP, LLC Service code 15 · EIN 61-1758632 | Recordkeeping | $12,130 |
DAVID ROMANO3 years Filed as: DAVID L. BUCK Service code 15 · EIN 55-5836659 | Recordkeeping | $7,000 |
ADP BROKER-DEALER4 years Service code 59 · EIN 22-3319984 | Shareholder Servicing | $0 |
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.)
Annual investment return 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 | $19,346 | $59,839-67.7% | $81,988-76.4% | $79,858-75.8% |
| Participation rate | 48.3% | 61.6%-13.3pp | 69.3%-20.9pp | 69.6%-21.3pp |
| Annual return | 9.55% | 17.56%-8.0pp | 41.31%-31.8pp | 31.72%-22.2pp |
| Employer contribution / active EE | $0 | $1,713-100.0% | $2,498-100.0% | $2,471-100.0% |
| Participant deferral / active EE | $1,099 | $2,695-59.2% | $3,722-70.5% | $3,740-70.6% |
| Admin fee / account holder | $455 | $4,287-89.4% | $5,665-92.0% | $5,306-91.4% |