Filed December 3, 2025
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| Provider | Service type | Compensation |
|---|---|---|
Filed as: NATIONAL FINANCIAL SERVICES LLC Service code 61 · EIN 04-3523567 | Finders' fees / placement fees | $22,100 |
Filed as: MSI FINANCIAL SERVICES INC Service code 55 1095 AVENUE OF THE AMERICAS · NEW YORK, NY 10036 | Other Commissions | $9,245 |
Service code 37 · EIN 04-2647786 | Loan Processing | $1,425 |
Filed as: GREAT-WEST LIFE & ANNUITY INS Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $975 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer 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).
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 | $24,584 | $52,884-53.5% | $84,753-71.0% | $55,167-55.4% |
| Participation rate | 59.2% | 67.5%-8.4pp | 76.6%-17.4pp | 69.0%-9.8pp |
| Annual return | 12.35% | 18.03%-5.7pp | 22.78%-10.4pp | 169.23%-156.9pp |
| Employer contribution / active EE | $124 | $2,233-94.4% | $3,574-96.5% | $1,963-93.7% |
| Participant deferral / active EE | $1,454 | $2,644-45.0% | $3,712-60.8% | $3,054-52.4% |
| Admin fee / account holder | $23 | $581-96.0% | $5,333-99.6% | $504-95.3% |