Filed June 13, 2017
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| Provider | Service type | Compensation |
|---|---|---|
OSAIC WEALTH INC1 year Service code 55 · EIN 93-0987232 | Other Commissions | $42,488 |
CROSKEY LANNI, PC8 years Service code 10 · EIN 38-2777985 | Accounting | $10,000 |
Service code 37 · EIN 04-2647786 | Loan Processing | $3,275 |
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).
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $90,008 | $91,394-1.5% | $130,026-30.8% | $74,440+20.9% |
| Participation rate | 57.5% | 77.8%-20.2pp | 78.5%-20.9pp | 70.7%-13.2pp |
| Annual return | 19.34% | 23.20%-3.9pp | -137.26%+156.6pp | 34.37%-15.0pp |
| Employer contribution / active EE | $835 | $2,565-67.5% | $4,321-80.7% | $2,638-68.4% |
| Participant deferral / active EE | $4,614 | $4,721-2.3% | $5,821-20.7% | $4,529+1.9% |
| Admin fee / account holder | $60 | $284-78.8% | $10,608-99.4% | $348-82.7% |