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| Provider | Service type | Compensation |
|---|---|---|
Service code 27 · EIN 47-1411118 | Advisory (Plan) | $8,000 |
LPL FINANCIAL2+ years Filed as: LPL FINANCIAL LLC - RPCP Service code 27 · EIN 04-3046611 | Advisory (Plan) | $8,000 |
PRINCIPAL LIFE INSURANCE COMPANY2+ years Service code 13 · EIN 42-0127290 | Contract Administrator | $5,816 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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 | $49,628 | $41,281+20.2% | $109,313-54.6% | $57,658-13.9% |
| Participation rate | 53.4% | 59.3%-6.0pp | 71.3%-17.9pp | 70.2%-16.9pp |
| Annual return | 8.98% | 8.97%0pp | 22.07%-13.1pp | 5.13%+3.8pp |
| Employer contribution / active EE | $1,008 | $1,201-16.1% | $3,892-74.1% | $1,974-48.9% |
| Participant deferral / active EE | $1,996 | $2,223-10.2% | $3,166-37.0% | $3,061-34.8% |
| Admin fee / account holder | $29 | $75-61.5% | $5,666-99.5% | $95-69.4% |