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| Provider | Service type | Compensation |
|---|---|---|
Service code 15 · EIN 01-0233346 P.O. BOX 600 · BUFFALO, NY 142010600 | Recordkeeping | $716 |
LPL FINANCIAL1 year Filed as: LPL FINANCIAL, LLC Service code 26 · EIN 04-3046611 317 W. OAK STREET · VISALIA, CA 93291 | Advisory (Participants) | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Annual investment return is in the bottom quintile of the peer cohort.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $24,402 | $51,466-52.6% | $78,778-69.0% | $62,293-60.8% |
| Participation rate | 62.6% | 59.8%+2.8pp | 69.2%-6.6pp | 69.5%-6.9pp |
| Annual return | 12.48% | 19.96%-7.5pp | 35.62%-23.1pp | 28.90%-16.4pp |
| Employer contribution / active EE | $263 | $827-68.2% | $1,986-86.8% | $2,042-87.1% |
| Participant deferral / active EE | $1,616 | $2,147-24.8% | $2,958-45.4% | $3,169-49.0% |
| Admin fee / account holder | $34 | $489-93.1% | $5,134-99.3% | $479-93.0% |