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| Provider | Service type | Compensation |
|---|---|---|
LOCKTON INVESTMENT ADVISORS, LLC4+ years Filed as: LOCKTON FINANCIAL ADVISORS LLC Service code 27 · EIN 20-3247391 | Advisory (Plan) | $30,996 |
Service code 64 · EIN 04-2647786 | Recordkeeping Fees | $21,071 |
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 | $109,662 | $55,449+97.8% | $83,831+30.8% | $56,289+94.8% |
| Participation rate | 62.7% | 68.0%-5.3pp | 76.1%-13.5pp | 69.9%-7.2pp |
| Annual return | -4.37% | -1.38%-3.0pp | 850.99%-855.4pp | -9.96%+5.6pp |
| Employer contribution / active EE | $1,850 | $2,430-23.9% | $3,631-49.1% | $2,111-12.4% |
| Participant deferral / active EE | $5,166 | $2,935+76.0% | $4,082+26.6% | $3,350+54.2% |
| Admin fee / account holder | $434 | $656-33.9% | $5,479-92.1% | $521-16.7% |