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| Provider | Service type | Compensation |
|---|---|---|
Filed as: CETERA INVESTMENT SERVICES LLC Service code 61 · EIN 41-1483314 | Finders' fees / placement fees | $18,948 |
Filed as: NATIONAL FINANCIAL SERVICES LLC Service code 61 · EIN 04-3523567 | Finders' fees / placement fees | $9,003 |
Service code 37 · EIN 04-2647786 | Loan Processing | $8,925 |
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).
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 | $8,446 | $39,819-78.8% | $67,834-87.5% | $57,658-85.4% |
| Participation rate | 83.6% | 61.2%+22.4pp | 68.8%+14.8pp | 70.2%+13.4pp |
| Annual return | 14.92% | 9.19%+5.7pp | 138.47%-123.6pp | 5.13%+9.8pp |
| Employer contribution / active EE | $2,895 | $1,277+126.7% | $2,403+20.5% | $1,974+46.7% |
| Participant deferral / active EE | $251 | $2,209-88.6% | $3,160-92.0% | $3,061-91.8% |
| Admin fee / account holder | $12 | $84-85.7% | $4,622-99.7% | $95-87.3% |