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| Provider | Service type | Compensation |
|---|---|---|
FIRST CLEARING LLC1+ years Service code 27 · EIN 23-2384840 | Advisory (Plan) | $19,860 |
Service code 60 · EIN 04-2647786 | Sub-TA Fees | $25 |
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.
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
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 | $101,602 | $72,177+40.8% | $115,038-11.7% | $59,633+70.4% |
| Participation rate | 60.9% | 72.6%-11.6pp | 81.4%-20.4pp | 68.7%-7.7pp |
| Annual return | 9.52% | 12.02%-2.5pp | 26.14%-16.6pp | 2041.45%-2031.9pp |
| Employer contribution / active EE | $0 | $2,841-100.0% | $4,608-100.0% | $2,203-100.0% |
| Participant deferral / active EE | $11,210 | $4,783+134.4% | $6,026+86.0% | $3,192+251.2% |
| Admin fee / account holder | $207 | $4,927-95.8% | $8,175-97.5% | $4,297-95.2% |