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| Provider | Service type | Compensation |
|---|---|---|
FIDELITY INVESTMENTS INSTITUTIONAL10+ years Service code 37 · EIN 04-2647786 | Loan Processing | $70,984 |
Filed as: ROCATON INVESTMENT ADVISORS LLC Service code 27 · EIN 04-3638035 | Advisory (Plan) | $34,578 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Form 5500 reported that benefits due were not provided when due.
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 | $112,443 | $59,006+90.6% | $97,295+15.6% | $74,478+51.0% |
| Participation rate | 70.5% | 63.7%+6.8pp | 72.7%-2.1pp | 67.2%+3.3pp |
| Annual return | 11.45% | 16.04%-4.6pp | 75.62%-64.2pp | 1370.56%-1359.1pp |
| Employer contribution / active EE | $1,405 | $1,894-25.8% | $2,723-48.4% | $2,626-46.5% |
| Participant deferral / active EE | $5,832 | $3,671+58.9% | $4,264+36.8% | $4,350+34.1% |
| Admin fee / account holder | $444 | $1,974-77.5% | $5,646-92.1% | $1,946-77.2% |