Filed May 18, 2026
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| Provider | Service type | Compensation |
|---|---|---|
M HOLDINGS SECURITIES INC2 years Filed as: M. HOLDINGS SECURITIES, INC. Service code 15 · EIN 91-1802259 | Recordkeeping | $9,407 |
ADP BROKER-DEALER3 years Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $5,780 |
ADP BROKER-DEALER3 years Service code 59 · EIN 22-3319984 | Shareholder Servicing | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
The auditor signed off without reservation. This is the cleanest opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $29,383 | $80,724-63.6% | $103,333-71.6% | $74,495-60.6% |
| Participation rate | 52.4% | 65.7%-13.2pp | 74.5%-22.1pp | 67.2%-14.8pp |
| Annual return | 13.24% | 27.56%-14.3pp | 24.88%-11.6pp | 1364.94%-1351.7pp |
| Employer contribution / active EE | $1,671 | $3,157-47.1% | $3,868-56.8% | $2,623-36.3% |
| Participant deferral / active EE | $3,459 | $3,860-10.4% | $5,057-31.6% | $4,346-20.4% |
| Admin fee / account holder | $108 | $2,368-95.5% | $8,355-98.7% | $1,942-94.5% |