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| Provider | Service type | Compensation |
|---|---|---|
L&L FINANCIAL SERVICES1+ years Service code 26 · EIN 63-1238530 | Advisory (Participants) | $50,756 |
BENEFIT PROFESSIONALS, INC.1+ years Service code 17 · EIN 63-0913824 | Pension Consulting | $38,966 |
NATIONWIDE1+ years Service code 15 · EIN 31-4156830 | Recordkeeping | $33,892 |
Filed as: CLARKE LANZEN SKALLA INVESTEMENT Service code 28 · EIN 13-4109249 | Investment Management | $18,540 |
ASTON CARTER INC1+ years Filed as: ASTON FUNDS Service code 15 | Recordkeeping | $1,104 |
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.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $27,191 | $27,330-0.5% | $67,704-59.8% | $55,191-50.7% |
| Participation rate | 38.5% | 47.5%-9.0pp | 67.5%-29.0pp | 69.2%-30.7pp |
| Annual return | -8.45% | 8.81%-17.3pp | 25.41%-33.9pp | 10.78%-19.2pp |
| Employer contribution / active EE | $483 | $855-43.5% | $2,559-81.1% | $1,899-74.6% |
| Participant deferral / active EE | $1,238 | $1,709-27.6% | $3,585-65.5% | $3,046-59.4% |
| Admin fee / account holder | $443 | $109+305.0% | $4,255-89.6% | $91+387.5% |