Filed January 29, 2026 (most recent of 4 filings on file)
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Participant loan processing; Direct p... | $17,720 |
Service code 33 | Securities brokerage commissions and ... | $0 |
Filed as: MID ATLANTIC CAPTIAL CORPORATION Service code 33 · EIN 25-1409618 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES2 years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
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).
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 | $35,239 | $37,196-5.3% | $154,108-77.1% | $55,725-36.8% |
| Participation rate | 67.2% | 64.1%+3.1pp | 83.0%-15.8pp | 70.9%-3.7pp |
| Annual return | -3.26% | 1319.68%-1322.9pp | 735.21%-738.5pp | 244.93%-248.2pp |
| Employer contribution / active EE | $194 | $1,614-88.0% | $5,298-96.3% | $2,078-90.7% |
| Participant deferral / active EE | $2,149 | $2,068+3.9% | $5,081-57.7% | $3,356-36.0% |
| Admin fee / account holder | $32 | $102-68.9% | $13,411-99.8% | $115-72.6% |