Filed February 14, 2024
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Direct payment from the plan; Recordk... | $60,567 |
STEPHENS INC3+ years Filed as: STEPHENS INC. Service code 16 111 CENTER STREET · LITTLE ROCK, AR 77201 | Consulting | $30,397 |
NATIONAL FINANCIAL SERVICES3+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $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.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $56,989 | $44,989+26.7% | $170,435-66.6% | $77,958-26.9% |
| Participation rate | 43.8% | 64.6%-20.8pp | 83.6%-39.8pp | 71.6%-27.8pp |
| Annual return | 7.79% | 19.61%-11.8pp | 205.94%-198.1pp | 20.87%-13.1pp |
| Employer contribution / active EE | $326 | $1,466-77.8% | $5,432-94.0% | $2,310-85.9% |
| Participant deferral / active EE | $2,015 | $2,208-8.7% | $4,939-59.2% | $3,537-43.0% |
| Admin fee / account holder | $92 | $69+33.9% | $13,881-99.3% | $97-5.2% |