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| Provider | Service type | Compensation |
|---|---|---|
PRINCIPAL LIFE INSURANCE COMPANY7+ years Service code 13 · EIN 42-0127290 | Contract Administrator | $110,889 |
PFK O'CONNOR DAVIES, LLP1 year Filed as: PFK O'CONNOR DAVIES LLP Service code 10 · EIN 27-1728945 | Accounting | $32,961 |
Filed as: KESTRA ADVISORY SERVICES, LLC Service code 27 · EIN 35-2552359 | Advisory (Plan) | $29,137 |
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).
Plan reported corrective distributions (failed ADP/ACP testing).
Opinion is qualified - a specific issue limited the scope or accuracy of the audit.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $31,768 | $30,555+4.0% | $80,741-60.7% | $86,821-63.4% |
| Participation rate | 32.7% | 37.2%-4.5pp | 54.2%-21.4pp | 72.3%-39.6pp |
| Annual return | 15.04% | 30.35%-15.3pp | 87.30%-72.3pp | 97.94%-82.9pp |
| Employer contribution / active EE | $470 | $472-0.4% | $1,160-59.5% | $2,406-80.5% |
| Participant deferral / active EE | $1,433 | $1,050+36.5% | $2,145-33.2% | $4,132-65.3% |
| Admin fee / account holder | $364 | $135+168.9% | $3,380-89.2% | $170+114.8% |