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| Provider | Service type | Compensation |
|---|---|---|
LPL FINANCIAL1 year Filed as: LPL FINANCIAL LLC Service code 61 · EIN 04-3046611 | Finders' fees / placement fees | $7,552 |
Filed as: NATIONAL FINANCIAL SERVICES LLC Service code 61 | Finders' fees / placement fees | $2,576 |
Service code 60 · EIN 04-2647786 | Sub-TA Fees | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant 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).
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
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 | $22,860 | $42,546-46.3% | $71,796-68.2% | $55,167-58.6% |
| Participation rate | 37.4% | 59.1%-21.7pp | 69.1%-31.7pp | 69.0%-31.5pp |
| Annual return | 6.09% | 12.36%-6.3pp | 78.04%-71.9pp | 169.23%-163.1pp |
| Employer contribution / active EE | $249 | $803-69.0% | $1,924-87.1% | $1,963-87.3% |
| Participant deferral / active EE | $806 | $2,064-60.9% | $2,794-71.1% | $3,054-73.6% |
| Admin fee / account holder | $15 | $650-97.7% | $4,815-99.7% | $504-97.0% |