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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Distribution (12b-1) fees; Recordkeep... | $447,131 |
Filed as: CAPFINANCIAL PARTNERS, INC. Service code 16 · EIN 26-0058143 | Consulting | $25,000 |
Service code 33 · EIN 25-1409618 | Securities brokerage; Securities brok... | $0 |
NATIONAL FINANCIAL SERVICES4+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
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.
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 | $8,925 | $46,969-81.0% | $154,110-94.2% | $73,367-87.8% |
| Participation rate | 54.4% | 72.4%-18.0pp | 83.0%-28.7pp | 69.5%-15.1pp |
| Annual return | 22.74% | 821.68%-798.9pp | 735.22%-712.5pp | 173.45%-150.7pp |
| Employer contribution / active EE | $191 | $1,723-88.9% | $5,298-96.4% | $2,499-92.4% |
| Participant deferral / active EE | $1,273 | $3,162-59.7% | $5,081-74.9% | $4,033-68.4% |
| Admin fee / account holder | $37 | $47-20.0% | $13,412-99.7% | $68-45.4% |