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| Provider | Service type | Compensation |
|---|---|---|
Service code 15 · EIN 35-0145825 | Recordkeeping | $18,278 |
LPL FINANCIAL5+ years Filed as: LPL FINANCIAL LLC Service code 26 · EIN 04-3046611 | Advisory (Participants) | $10,425 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
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).
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 | $32,348 | $74,347-56.5% | $93,621-65.4% | $67,579-52.1% |
| Participation rate | 27.0% | 80.6%-53.6pp | 75.8%-48.9pp | 71.3%-44.3pp |
| Annual return | 20.06% | 28.07%-8.0pp | 32.76%-12.7pp | 378.56%-358.5pp |
| Employer contribution / active EE | $769 | $2,583-70.2% | $2,719-71.7% | $2,148-64.2% |
| Participant deferral / active EE | $1,553 | $4,060-61.7% | $4,070-61.8% | $3,539-56.1% |
| Admin fee / account holder | $73 | $123-40.8% | $7,890-99.1% | $142-49.0% |