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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Distribution (12b-1) fees; Account ma... | $16,818 |
NATIONAL FINANCIAL SERVICES4+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Participant 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 declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $40,771 | $47,977-15.0% | $154,108-73.5% | $56,289-27.6% |
| Participation rate | 75.2% | 66.2%+9.0pp | 83.0%-7.9pp | 69.9%+5.3pp |
| Annual return | -3.65% | 3.54%-7.2pp | 735.21%-738.9pp | -9.96%+6.3pp |
| Employer contribution / active EE | $0 | $2,169-100.0% | $5,298-100.0% | $2,111-100.0% |
| Participant deferral / active EE | $703 | $2,392-70.6% | $5,081-86.2% | $3,350-79.0% |
| Admin fee / account holder | $112 | $438-74.4% | $13,411-99.2% | $521-78.5% |