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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Sales loads (front end and deferred);... | $357,596 |
CAPFINANCIAL PARTNERS LLC2+ years Filed as: CAPTRUST FINANCIAL ADVISORS Service code 27 · EIN 26-0058143 | Advisory (Plan) | $39,583 |
Service code 33 | Securities brokerage; Securities brok... | $0 |
NATIONAL FINANCIAL SERVICES2+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $4,731 | $306,927-98.5% | $156,551-97.0% | - |
| Participation rate | 0.0% | 59.9%-59.9pp | 84.0%-84.0pp | - |
| Annual return | 15.07% | 1.08%+14.0pp | 32.23%-17.2pp | - |
| Employer contribution / active EE | $0 | $1,481-100.0% | $5,501-100.0% | - |
| Participant deferral / active EE | $0 | $1,779-100.0% | $4,871-100.0% | - |
| Admin fee / account holder | $14 | $73,834-100.0% | $13,028-99.9% | - |