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| Provider | Service type | Compensation |
|---|---|---|
Filed as: MERRILL LYNCH, PIERCE, FENNER AND S Service code 15 · EIN 13-5674085 | Recordkeeping | $10,878 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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).
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 | $54,464 | $26,479+105.7% | $74,722-27.1% | $77,775-30.0% |
| Participation rate | 15.9% | 37.6%-21.8pp | 54.5%-38.6pp | 73.2%-57.3pp |
| Annual return | 18.08% | 38.31%-20.2pp | 753.11%-735.0pp | 32.58%-14.5pp |
| Employer contribution / active EE | $140 | $440-68.1% | $1,084-87.1% | $2,504-94.4% |
| Participant deferral / active EE | $362 | $1,074-66.3% | $1,963-81.5% | $3,966-90.9% |
| Admin fee / account holder | $30 | $119-75.2% | $3,335-99.1% | $100-70.5% |