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| Provider | Service type | Compensation |
|---|---|---|
Filed as: RAYMOND JAMES & ASSOCIATES Service code 26 · EIN 59-1237041 | Advisory (Participants) | $13,085 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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).
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 | $40,952 | $58,888-30.5% | $178,498-77.1% | $73,493-44.3% |
| Participation rate | 53.6% | 66.2%-12.6pp | 81.9%-28.3pp | 70.7%-17.1pp |
| Annual return | 9.31% | 24.86%-15.6pp | 151.09%-141.8pp | 28.51%-19.2pp |
| Employer contribution / active EE | $942 | $2,236-57.9% | $5,011-81.2% | $2,270-58.5% |
| Participant deferral / active EE | $1,664 | $2,568-35.2% | $5,202-68.0% | $3,740-55.5% |
| Admin fee / account holder | $312 | $400-21.9% | $13,985-97.8% | $513-39.1% |