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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Sales loads (front end and deferred);... | $231,950 |
CAPFINANCIAL PARTNERS LLC3 years Filed as: CAPTRUST FINANCIAL ADVISORS Service code 27 · EIN 26-0058143 | Advisory (Plan) | $83,748 |
NATIONAL FINANCIAL SERVICES6+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $38,900 | $52,293-25.6% | $178,498-78.2% | $73,412-47.0% |
| Participation rate | 100.0% | 65.3%+34.7pp | 81.9%+18.1pp | 72.2%+27.8pp |
| Annual return | 14.42% | 34.75%-20.3pp | 151.09%-136.7pp | 59.30%-44.9pp |
| Employer contribution / active EE | $2,651 | $1,735+52.8% | $5,011-47.1% | $2,234+18.7% |
| Participant deferral / active EE | $3,011 | $2,332+29.1% | $5,202-42.1% | $3,806-20.9% |
| Admin fee / account holder | $354 | $127+177.6% | $13,985-97.5% | $158+123.9% |