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| Provider | Service type | Compensation |
|---|---|---|
Service code 37 · EIN 04-2647786 | Loan Processing | $2,800 |
FIRST CLEARING LLC2+ years Service code 60 · EIN 23-2384840 | Sub-TA Fees | $0 |
Filed as: RAYMOND JAMES FINANCIAL SERVICES I Service code 61 · EIN 59-2937883 PO BOX 12749 · ST PETERSBURG, FL 33733 | Finders' fees / placement fees | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $35,271 | $23,385+50.8% | $69,182-49.0% | $57,658-38.8% |
| Participation rate | 51.0% | 37.9%+13.1pp | 55.1%-4.1pp | 70.2%-19.2pp |
| Annual return | 6.57% | -659.34%+665.9pp | -21.93%+28.5pp | 5.13%+1.4pp |
| Employer contribution / active EE | $835 | $422+97.7% | $1,206-30.8% | $1,974-57.7% |
| Participant deferral / active EE | $1,731 | $843+105.3% | $1,897-8.8% | $3,061-43.4% |
| Admin fee / account holder | $14 | $82-83.3% | $2,697-99.5% | $95-85.5% |