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| Provider | Service type | Compensation |
|---|---|---|
Filed as: RAYMOND JAMES FINANCIAL SERVICE Service code 15 · EIN 59-2937883 | Recordkeeping | $23,047 |
ADP BROKER-DEALER2 years Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $18,547 |
Service code 15 · EIN 20-8764829 | Recordkeeping | $10,431 |
SOREN MCADAM1 year Filed as: SOREN MCADAM, LLP Service code 15 · EIN 77-0549163 | Recordkeeping | $6,500 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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).
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $46,880 | $38,967+20.3% | $86,233-45.6% | $79,634-41.1% |
| Participation rate | 42.4% | 34.1%+8.3pp | 69.0%-26.6pp | 62.5%-20.1pp |
| Annual return | 16.32% | 49.90%-33.6pp | 61.39%-45.1pp | 36.46%-20.1pp |
| Employer contribution / active EE | $196 | $868-77.4% | $2,504-92.2% | $2,529-92.2% |
| Participant deferral / active EE | $1,550 | $1,663-6.8% | $4,559-66.0% | $3,835-59.6% |
| Admin fee / account holder | $366 | $2,660-86.2% | $8,342-95.6% | $1,002-63.5% |