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| Provider | Service type | Compensation |
|---|---|---|
LOCKTON INVESTMENT ADVISORS, LLC1+ years Filed as: LOCKTON FINANCIAL ADVISORS, LLC Service code 16 PO BOX 219153 · KANSAS CITY, MO 64121 | Consulting | $35,309 |
Service code 12 · EIN 13-3689044 | Participant loan processing; Sharehol... | $8,903 |
MID ATLANTIC CAPITAL CORPORATION1+ years Service code 33 · EIN 25-1409618 | Securities brokerage; Securities brok... | $0 |
NATIONAL FINANCIAL SERVICES1+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
Annual investment return is in the bottom quintile of the peer cohort.
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 | $82,929 | $63,924+29.7% | $108,582-23.6% | $55,167+50.3% |
| Participation rate | 60.4% | 74.3%-13.9pp | 79.6%-19.2pp | 69.0%-8.6pp |
| Annual return | -3.10% | 15.31%-18.4pp | -51.70%+48.6pp | 169.23%-172.3pp |
| Employer contribution / active EE | $0 | $1,879-100.0% | $3,758-100.0% | $1,963-100.0% |
| Participant deferral / active EE | $1,361 | $3,067-55.6% | $4,311-68.4% | $3,054-55.4% |
| Admin fee / account holder | $31 | $618-95.0% | $7,645-99.6% | $504-93.9% |