Filed February 22, 2017
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| Provider | Service type | Compensation |
|---|---|---|
ADP BROKER-DEALER3+ years Filed as: ADP, LLC Service code 15 · EIN 13-3036745 | Recordkeeping | $780 |
ADP BROKER-DEALER3+ years Service code 49 · EIN 22-3319984 | Other Services | $0 |
Filed as: CETERA ADVISORS LLC Service code 49 30 WESTWOODS DR · LIBERTY, MO 64068 | Other Services | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Annual investment return is in the bottom quintile of the peer cohort.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $31,951 | $85,766-62.7% | $136,297-76.6% | $70,124-54.4% |
| Participation rate | 33.3% | 74.2%-40.8pp | 81.9%-48.6pp | 69.5%-36.2pp |
| Annual return | 14.01% | 31.45%-17.4pp | 5156.19%-5142.2pp | 73.14%-59.1pp |
| Employer contribution / active EE | $0 | $2,966-100.0% | $4,696-100.0% | $2,342-100.0% |
| Participant deferral / active EE | $3,235 | $5,051-36.0% | $6,247-48.2% | $3,332-2.9% |
| Admin fee / account holder | $8 | $5,420-99.9% | $9,244-99.9% | $4,645-99.8% |