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| Provider | Service type | Compensation |
|---|---|---|
Filed as: MERRILL LYNCH, PIERCE, FENNER AND S Service code 15 · EIN 13-5674085 | Recordkeeping | $5,930 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
Annual investment return 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 | $95,412 | $100,801-5.3% | $149,745-36.3% | $73,412+30.0% |
| Participation rate | 53.2% | 77.7%-24.5pp | 82.5%-29.3pp | 72.2%-19.0pp |
| Annual return | 11.25% | 265.34%-254.1pp | 276.72%-265.5pp | 59.30%-48.0pp |
| Employer contribution / active EE | $1,138 | $3,312-65.6% | $4,646-75.5% | $2,234-49.1% |
| Participant deferral / active EE | $2,026 | $6,404-68.4% | $6,843-70.4% | $3,806-46.8% |
| Admin fee / account holder | $39 | $181-78.6% | $9,312-99.6% | $158-75.5% |