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| Provider | Service type | Compensation |
|---|---|---|
Filed as: ROCATON INVESTMENT ADVISORS LLC Service code 27 · EIN 04-3638035 | Advisory (Plan) | $41,630 |
Service code 37 · EIN 04-2647786 | Loan Processing | $35,152 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $94,164 | $44,714+110.6% | $91,227+3.2% | $66,949+40.7% |
| Participation rate | 50.2% | 65.0%-14.8pp | 73.2%-23.0pp | 69.8%-19.6pp |
| Annual return | -15.74% | -12.25%-3.5pp | 114.14%-129.9pp | 1.57%-17.3pp |
| Employer contribution / active EE | $834 | $1,710-51.3% | $2,851-70.8% | $2,545-67.3% |
| Participant deferral / active EE | $3,710 | $3,355+10.6% | $4,234-12.4% | $4,239-12.5% |
| Admin fee / account holder | $301 | $521-42.2% | $5,423-94.4% | $594-49.3% |