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| Provider | Service type | Compensation |
|---|---|---|
EQUITY SERVICES INC1 year Filed as: O N EQUITY SALES CO (THE) Service code 55 · EIN 31-0742113 | Other Commissions | $13,635 |
Service code 60 · EIN 04-2647786 | Sub-TA Fees | $100 |
Filed as: NATIONAL FINANCIAL SERVICES LLC Service code 61 · EIN 04-3523567 | Finders' fees / placement fees | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Annual investment return is in the bottom quintile of the peer cohort.
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
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 | $57,632 | $73,981-22.1% | $105,754-45.5% | $62,881-8.3% |
| Participation rate | 68.9% | 71.7%-2.8pp | 78.9%-10.0pp | 69.3%-0.4pp |
| Annual return | 1.48% | 17.60%-16.1pp | 12.25%-10.8pp | 20.14%-18.7pp |
| Employer contribution / active EE | $1,021 | $2,856-64.3% | $4,079-75.0% | $2,281-55.2% |
| Participant deferral / active EE | $2,087 | $4,038-48.3% | $5,326-60.8% | $3,203-34.9% |
| Admin fee / account holder | $3 | $5,976-99.9% | $8,309-100.0% | $4,296-99.9% |