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| Provider | Service type | Compensation |
|---|---|---|
BRIAN FREEMAN1 year Filed as: BRIAN SCANLON Service code 27 500 POST RD EAST · WESTPORT, CT 06880 | Advisory (Plan) | $9,986 |
ADP BROKER-DEALER2 years Filed as: ADP, LLC Service code 15 · EIN 13-3036745 | Recordkeeping | $3,830 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $9,616 | $43,411-77.8% | $94,993-89.9% | $69,631-86.2% |
| Participation rate | 65.0% | 64.4%+0.6pp | 73.9%-8.9pp | 70.7%-5.7pp |
| Annual return | 35.14% | 22.54%+12.6pp | 27.14%+8.0pp | 27571.02%-27535.9pp |
| Employer contribution / active EE | $1,586 | $1,202+31.9% | $2,603-39.1% | $2,032-22.0% |
| Participant deferral / active EE | $2,579 | $2,384+8.1% | $3,317-22.3% | $3,224-20.0% |
| Admin fee / account holder | $6 | $87-93.6% | $4,960-99.9% | $110-95.0% |