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| Provider | Service type | Compensation |
|---|---|---|
Service code 60 · EIN 04-2647786 | Sub-TA Fees | $31,082 |
LPL FINANCIAL2 years Filed as: LPL FINANCIAL LLC Service code 27 · EIN 04-3046611 | Advisory (Plan) | $7,500 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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 | $17,432 | $23,224-24.9% | $71,086-75.5% | $55,725-68.7% |
| Participation rate | 28.1% | 37.9%-9.8pp | 54.7%-26.5pp | 70.9%-42.7pp |
| Annual return | -5.31% | -2.87%-2.4pp | 650.59%-655.9pp | 244.93%-250.2pp |
| Employer contribution / active EE | $433 | $436-0.7% | $1,088-60.2% | $2,078-79.2% |
| Participant deferral / active EE | $743 | $929-20.0% | $1,874-60.3% | $3,356-77.9% |
| Admin fee / account holder | $171 | $118+44.8% | $3,082-94.5% | $115+48.2% |