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| Provider | Service type | Compensation |
|---|---|---|
ADP BROKER-DEALER1 year Filed as: ADP, LLC Service code 15 · EIN 13-3036745 | Recordkeeping | $755 |
TD AMERITRADE, INC.1 year Service code 33 · EIN 82-0543156 | Distribution (12b-1) fees; Securities... | $27 |
ADP BROKER-DEALER1 year Service code 49 · EIN 22-3319984 | Other Services | $0 |
Service code 49 702 KING FARM BLVD · ROCKVILLE, MD 20850 | Other Services | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
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).
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 | $51,478 | $31,388+64.0% | $73,550-30.0% | $62,293-17.4% |
| Participation rate | 43.0% | 39.9%+3.1pp | 54.9%-12.0pp | 69.5%-26.5pp |
| Annual return | 16.32% | 25.34%-9.0pp | -15.16%+31.5pp | 28.90%-12.6pp |
| Employer contribution / active EE | $1,081 | $498+117.2% | $1,219-11.3% | $2,042-47.1% |
| Participant deferral / active EE | $2,961 | $1,028+187.9% | $1,804+64.1% | $3,169-6.6% |
| Admin fee / account holder | $11 | $299-96.2% | $2,320-99.5% | $479-97.6% |