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| Provider | Service type | Compensation |
|---|---|---|
OXFORD FINANCIAL GROUP, LTD2+ years Filed as: OXFORD FINANCIAL GROUP Service code 28 · EIN 35-1588335 | Investment Management | $28,858 |
NYHART2+ years Service code 15 · EIN 35-0966414 | Recordkeeping | $19,706 |
BKD, LLP1 year Service code 10 · EIN 44-0160260 | Accounting | $5,808 |
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 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 | $161,500 | $43,423+271.9% | $78,676+105.3% | $55,167+192.7% |
| Participation rate | 0.0% | 68.0%-68.0pp | 73.6%-73.6pp | 69.0%-69.0pp |
| Annual return | 11.61% | 11.53%+0.1pp | 62.19%-50.6pp | 169.23%-157.6pp |
| Employer contribution / active EE | $979 | $1,997-51.0% | $2,850-65.7% | $1,963-50.1% |
| Participant deferral / active EE | $4,585 | $2,509+82.8% | $3,517+30.4% | $3,054+50.1% |
| Admin fee / account holder | $824 | $416+98.0% | $4,510-81.7% | $504+63.5% |