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| Provider | Service type | Compensation |
|---|---|---|
STEPHENS INC3 years Service code 27 · EIN 71-0641478 | Advisory (Plan) | $21,955 |
ASCENSUS LLC3 years Service code 15 · EIN 11-3665754 | Recordkeeping | $11,953 |
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.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $37,287 | $65,322-42.9% | $70,462-47.1% | $73,493-49.3% |
| Participation rate | 39.2% | 77.0%-37.8pp | 75.1%-35.9pp | 70.7%-31.5pp |
| Annual return | 19.52% | 15.71%+3.8pp | 109.08%-89.6pp | 28.51%-9.0pp |
| Employer contribution / active EE | $783 | $2,460-68.2% | $2,737-71.4% | $2,270-65.5% |
| Participant deferral / active EE | $1,574 | $3,375-53.4% | $3,710-57.6% | $3,740-57.9% |
| Admin fee / account holder | $320 | $214+49.5% | $3,845-91.7% | $513-37.7% |