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| Provider | Service type | Compensation |
|---|---|---|
ADP BROKER-DEALER1 year Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $1,500 |
ADP BROKER-DEALER6+ years Service code 49 · EIN 22-3319984 | Other Services | $0 |
STIFEL NICOLAUS & CO INC3 years Filed as: STIFEL Service code 49 1 SOUTH STREET 30TH FLOOR · BALTIMORE, MD 21202 | Other Services | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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).
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 | $78,952 | $54,573+44.7% | $90,970-13.2% | $73,497+7.4% |
| Participation rate | 48.4% | 61.2%-12.8pp | 69.0%-20.7pp | 70.7%-22.3pp |
| Annual return | 12.50% | 16.69%-4.2pp | 134.60%-122.1pp | 28.51%-16.0pp |
| Employer contribution / active EE | $925 | $991-6.7% | $2,122-56.4% | $2,270-59.3% |
| Participant deferral / active EE | $2,725 | $2,517+8.3% | $3,373-19.2% | $3,740-27.1% |
| Admin fee / account holder | $21 | $521-96.1% | $5,961-99.7% | $513-96.0% |