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| Provider | Service type | Compensation |
|---|---|---|
STIFEL NICOLAUS & CO INC2+ years Service code 55 · EIN 43-0538770 | Other Commissions | $10,072 |
Service code 37 · EIN 04-2647786 100 CROSBY PARKWAY, KC1G · COVINGTON, KY 41015 | Loan Processing | $275 |
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.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $63,839 | $36,694+74.0% | $40,145,923-99.8% | $55,167+15.7% |
| Participation rate | 23.3% | 57.2%-33.9pp | 68.4%-45.1pp | 69.0%-45.7pp |
| Annual return | 8.61% | 10.16%-1.5pp | 5.24%+3.4pp | 169.23%-160.6pp |
| Employer contribution / active EE | $147 | $1,135-87.1% | $1,844-92.0% | $1,963-92.5% |
| Participant deferral / active EE | $898 | $1,679-46.5% | $2,591-65.3% | $3,054-70.6% |
| Admin fee / account holder | $21 | $175-88.0% | $2,903-99.3% | $504-95.8% |