Filed December 12, 2023
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Recordkeeping fees; Participant loan ... | $78,928 |
PRIVATE ADVISOR GROUP LLC4 years Filed as: PRIVATE ADVISORS GROUP Service code 27 · EIN 27-3463733 | Advisory (Plan) | $58,614 |
MID ATLANTIC CAPITAL CORPORATION5+ years Service code 33 · EIN 25-1409618 | Securities brokerage; Securities brok... | $0 |
NATIONAL FINANCIAL SERVICES5+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $105,629 | $63,114+67.4% | $92,915+13.7% | $65,186+62.0% |
| Participation rate | 100.0% | 68.8%+31.2pp | 76.0%+24.0pp | 70.2%+29.8pp |
| Annual return | 23.33% | 28.75%-5.4pp | 109.45%-86.1pp | 29.39%-6.1pp |
| Employer contribution / active EE | $3,725 | $2,571+44.9% | $3,653+2.0% | $2,177+71.1% |
| Participant deferral / active EE | $7,720 | $3,108+148.4% | $4,238+82.1% | $3,514+119.7% |
| Admin fee / account holder | $585 | $624-6.1% | $5,796-89.9% | $847-30.9% |