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| Provider | Service type | Compensation |
|---|---|---|
LOCKTON INVESTMENT ADVISORS, LLC2+ years Filed as: LOCKTON FINANCIAL ADVISORS LLC Service code 27 · EIN 20-3247391 | Advisory (Plan) | $18,134 |
Service code 60 · EIN 04-2647786 | Sub-TA Fees | $13,501 |
Filed as: LOCKTON COMPAINES Service code 27 · EIN 20-8874282 | Advisory (Plan) | $12,558 |
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).
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 | $121,002 | $52,884+128.8% | $84,753+42.8% | $55,167+119.3% |
| Participation rate | 55.5% | 67.5%-12.0pp | 76.6%-21.1pp | 69.0%-13.5pp |
| Annual return | 5.06% | 18.03%-13.0pp | 22.78%-17.7pp | 169.23%-164.2pp |
| Employer contribution / active EE | $1,434 | $2,233-35.8% | $3,574-59.9% | $1,963-27.0% |
| Participant deferral / active EE | $4,246 | $2,644+60.6% | $3,712+14.4% | $3,054+39.0% |
| Admin fee / account holder | $405 | $581-30.2% | $5,333-92.4% | $504-19.5% |