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| Provider | Service type | Compensation |
|---|---|---|
ADP BROKER-DEALER2 years Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $12,086 |
ADP BROKER-DEALER4+ years Service code 49 · EIN 22-3319984 | Other Services | $0 |
Filed as: MML INVESTORS SERVICES, LLC Service code 49 565 TAXTER ROAD · ELMSFORD, NY 10523 | Other Services | $0 |
TD AMERITRADE, INC.1 year Service code 33 · EIN 82-0543156 | Distribution (12b-1) fees; Securities... | $0 |
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 signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $15,574 | $59,584-73.9% | $86,615-82.0% | $79,391-80.4% |
| Participation rate | 68.3% | 67.7%+0.6pp | 71.6%-3.4pp | 70.7%-2.5pp |
| Annual return | 351.15% | 23.15%+328.0pp | 63.51%+287.6pp | 116.88%+234.3pp |
| Employer contribution / active EE | $0 | $1,768-100.0% | $2,496-100.0% | $2,428-100.0% |
| Participant deferral / active EE | $2,118 | $3,036-30.2% | $3,699-42.7% | $4,046-47.6% |
| Admin fee / account holder | $106 | $604-82.5% | $5,830-98.2% | $627-83.1% |