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| Provider | Service type | Compensation |
|---|---|---|
LPL FINANCIAL1+ years Filed as: LPL FINANCIAL, LLC Service code 27 · EIN 04-3046611 | Advisory (Plan) | $20,874 |
Service code 15 · EIN 31-1281022 | Recordkeeping | $12,770 |
BENEFIT PLANNING CONSULTANTS1+ years Filed as: BENEFIT PLANNING CONSULTANTS INC Service code 15 · EIN 36-3036100 | Recordkeeping | $2,875 |
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.
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 | $26,606 | $22,714+17.1% | $59,496-55.3% | $55,191-51.8% |
| Participation rate | 35.8% | 37.5%-1.6pp | 54.6%-18.7pp | 69.2%-33.3pp |
| Annual return | -2.77% | -44.01%+41.2pp | 182.05%-184.8pp | 10.78%-13.5pp |
| Employer contribution / active EE | $431 | $418+3.1% | $1,153-62.6% | $1,899-77.3% |
| Participant deferral / active EE | $923 | $843+9.5% | $1,829-49.5% | $3,046-69.7% |
| Admin fee / account holder | $490 | $83+488.4% | $2,232-78.0% | $91+440.2% |