Filed May 26, 2021
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| Provider | Service type | Compensation |
|---|---|---|
Service code 15 · EIN 35-0145825 | Recordkeeping | $17,904 |
LPL FINANCIAL1 year Filed as: LPL FINANCIAL LLC Service code 26 · EIN 04-3046611 | Advisory (Participants) | $14,103 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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 | $23,567 | $42,810-44.9% | $169,452-86.1% | $55,725-57.7% |
| Participation rate | 40.9% | 64.7%-23.8pp | 77.8%-36.9pp | 70.9%-30.0pp |
| Annual return | -2.94% | -3.61%+0.7pp | 1.83%-4.8pp | 244.93%-247.9pp |
| Employer contribution / active EE | $637 | $1,402-54.6% | $4,157-84.7% | $2,078-69.4% |
| Participant deferral / active EE | $1,489 | $3,141-52.6% | $5,277-71.8% | $3,356-55.6% |
| Admin fee / account holder | $72 | $106-32.4% | $9,110-99.2% | $115-37.5% |