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| Provider | Service type | Compensation |
|---|---|---|
ADP BROKER-DEALER2 years Filed as: ADP, LLC Service code 15 · EIN 13-3036745 | Recordkeeping | $6,925 |
TD AMERITRADE, INC.2 years Service code 33 · EIN 82-0543156 | Securities brokerage; Distribution (1... | $34 |
ADP BROKER-DEALER2 years Service code 49 · EIN 22-3319984 | Other Services | $0 |
UBS FINANCIAL SERVICES INC2 years Filed as: UBS Service code 49 3455 PEACHTREE ROAD NE · ATLANTA, GA 30326 | Other Services | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
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 | $40,518 | $80,753-49.8% | $136,298-70.3% | $62,293-35.0% |
| Participation rate | 55.7% | 73.5%-17.8pp | 81.9%-26.2pp | 69.5%-13.8pp |
| Annual return | 21.53% | 35.83%-14.3pp | 5156.27%-5134.7pp | 28.90%-7.4pp |
| Employer contribution / active EE | $988 | $2,884-65.8% | $4,696-79.0% | $2,042-51.6% |
| Participant deferral / active EE | $4,791 | $5,164-7.2% | $6,247-23.3% | $3,169+51.2% |
| Admin fee / account holder | $64 | $525-87.9% | $9,244-99.3% | $479-86.7% |