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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Float revenue; Shareholder servicing ... | $59,389 |
CREATIVE PLANNING LLC2 years Filed as: CREATIVE PLANNING Service code 26 · EIN 84-4519624 | Advisory (Participants) | $26,928 |
MID ATLANTIC CAPITAL CORPORATION9+ years Service code 33 · EIN 25-1409618 | Securities brokerage; Securities brok... | $0 |
NATIONAL FINANCIAL SERVICES9+ 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.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $69,712 | $89,465-22.1% | $165,071-57.8% | $77,736-10.3% |
| Participation rate | 40.7% | 78.6%-38.0pp | 78.6%-37.9pp | 70.6%-29.9pp |
| Annual return | 14.05% | 28.86%-14.8pp | 70.17%-56.1pp | 31.26%-17.2pp |
| Employer contribution / active EE | $938 | $2,565-63.4% | $4,347-78.4% | $2,728-65.6% |
| Participant deferral / active EE | $1,739 | $4,904-64.5% | $6,035-71.2% | $4,651-62.6% |
| Admin fee / account holder | $24 | $340-92.8% | $12,695-99.8% | $433-94.4% |