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| Provider | Service type | Compensation |
|---|---|---|
Filed as: NATIONAL FINANCIAL SERVICES LLC Service code 61 · EIN 04-3523567 | Finders' fees / placement fees | $49,608 |
FIRST CLEARING LLC1 year Service code 55 · EIN 23-2384840 | Other Commissions | $46,578 |
Filed as: JORDAN & ASSOCIATES RETIREMENT SER Service code 14 · EIN 68-0369583 | Plan Administrator | $19,350 |
Service code 37 · EIN 04-2647786 | Loan Processing | $500 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant is in the bottom quintile of the peer cohort.
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 | $70,625 | $42,546+66.0% | $71,796-1.6% | $55,167+28.0% |
| Participation rate | 31.4% | 59.1%-27.7pp | 69.1%-37.7pp | 69.0%-37.6pp |
| Annual return | -2.47% | 12.36%-14.8pp | 78.04%-80.5pp | 169.23%-171.7pp |
| Employer contribution / active EE | $0 | $803-100.0% | $1,924-100.0% | $1,963-100.0% |
| Participant deferral / active EE | $1,990 | $2,064-3.6% | $2,794-28.8% | $3,054-34.8% |
| Admin fee / account holder | $231 | $650-64.5% | $4,815-95.2% | $504-54.2% |