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| Provider | Service type | Compensation |
|---|---|---|
PRINCIPAL LIFE INSURANCE COMPANY2+ years Service code 13 · EIN 42-0127290 | Contract Administrator | $21,185 |
CAPFINANCIAL PARTNERS LLC2+ years Service code 27 · EIN 26-0058143 | Advisory (Plan) | $5,300 |
Filed as: CAPFINANCIAL SECURITIES LLC Service code 49 · EIN 46-4350797 | Other Services | $4,264 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant is in the bottom quintile of the peer cohort.
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 | $40,617 | $50,643-19.8% | $106,619-61.9% | $55,167-26.4% |
| Participation rate | 58.0% | 65.6%-7.5pp | 78.0%-20.0pp | 69.0%-10.9pp |
| Annual return | 7.84% | 7.02%+0.8pp | 9.42%-1.6pp | 169.23%-161.4pp |
| Employer contribution / active EE | $0 | $1,626-100.0% | $3,947-100.0% | $1,963-100.0% |
| Participant deferral / active EE | $1,791 | $2,208-18.9% | $3,930-54.4% | $3,054-41.3% |
| Admin fee / account holder | $233 | $488-52.3% | $6,418-96.4% | $504-53.8% |