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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Investment management; Finders' fees ... | $57,122 |
COMMONWEALTH FINANCIAL NETWORK4+ years Filed as: COMMONWEALTH EQUITY SERVICES, LLP Service code 16 · EIN 01-0110890 | Consulting | $29,428 |
Service code 33 · EIN 25-1409618 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES4+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
Participant contribution per participant is in the bottom quintile of the peer cohort.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $32,730 | $65,223-49.8% | $80,022-59.1% | $55,725-41.3% |
| Participation rate | 75.1% | 80.6%-5.5pp | 75.8%-0.8pp | 70.9%+4.2pp |
| Annual return | -4.74% | 7.59%-12.3pp | 11.22%-16.0pp | 244.93%-249.7pp |
| Employer contribution / active EE | $0 | $2,544-100.0% | $2,468-100.0% | $2,078-100.0% |
| Participant deferral / active EE | $1,408 | $3,881-63.7% | $3,686-61.8% | $3,356-58.0% |
| Admin fee / account holder | $311 | $114+172.6% | $6,521-95.2% | $115+170.3% |