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| Provider | Service type | Compensation |
|---|---|---|
LPL FINANCIAL1 year Filed as: NEXT FINANCIAL GROUP Service code 55 2500 WILCREST DR STE 620 · HOUSTON, TX 77042 | Other Commissions | $16,088 |
Service code 37 · EIN 04-2647786 | Loan Processing | $1,975 |
Filed as: NATIONAL FINANCIAL SERVICES LLC Service code 61 · EIN 04-3523567 | Finders' fees / placement fees | $0 |
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).
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
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 | $36,497 | $42,546-14.2% | $71,796-49.2% | $55,167-33.8% |
| Participation rate | 77.1% | 59.1%+18.0pp | 69.1%+8.0pp | 69.0%+8.1pp |
| Annual return | 9.33% | 12.36%-3.0pp | 78.04%-68.7pp | 169.23%-159.9pp |
| Employer contribution / active EE | $0 | $803-100.0% | $1,924-100.0% | $1,963-100.0% |
| Participant deferral / active EE | $3,457 | $2,064+67.5% | $2,794+23.7% | $3,054+13.2% |
| Admin fee / account holder | $16 | $650-97.5% | $4,815-99.7% | $504-96.8% |