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| Provider | Service type | Compensation |
|---|---|---|
ADP BROKER-DEALER3+ years Filed as: ADP, LLC Service code 15 · EIN 13-3036745 | Recordkeeping | $600 |
ADP BROKER-DEALER1 year Filed as: ADP BROKER - DEALER Service code 59 | Shareholder Servicing | $0 |
ADP BROKER-DEALER3+ years Service code 49 · EIN 22-3319984 | Other Services | $0 |
WELLS FARGO BANK, N.A.1 year Filed as: WELLS FARGO ADVISORS WACHOVIA SECUR Service code 49 1501 W SWANN AVENUE · TAMPA, FL 33606 | Other Services | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $14,107 | $50,385-72.0% | $75,501-81.3% | $62,293-77.4% |
| Participation rate | 23.8% | 67.7%-43.9pp | 72.4%-48.6pp | 69.5%-45.8pp |
| Annual return | 14.32% | 19.90%-5.6pp | 27.35%-13.0pp | 28.90%-14.6pp |
| Employer contribution / active EE | $0 | $1,537-100.0% | $2,352-100.0% | $2,042-100.0% |
| Participant deferral / active EE | $340 | $2,445-86.1% | $3,142-89.2% | $3,169-89.3% |
| Admin fee / account holder | $15 | $384-96.1% | $5,801-99.7% | $479-96.9% |