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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Participant communication; Account ma... | $30,329 |
Filed as: MORGAN STANLEY Service code 16 · EIN 36-3145972 | Consulting | $15,602 |
CITIGROUP GLOBAL MARKETS INC2+ years Filed as: CITIGROUP MSSB Service code 16 201 PLAZA TWO · JERSEY CITY, NJ 07311 | Consulting | $15,183 |
MID ATLANTIC CAPITAL CORPORATION2+ years Service code 33 · EIN 25-1409618 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES2+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
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.
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 | $98,913 | $60,349+63.9% | $74,184+33.3% | $62,881+57.3% |
| Participation rate | 83.0% | 72.7%+10.2pp | 76.6%+6.3pp | 69.3%+13.6pp |
| Annual return | 4.40% | 21.38%-17.0pp | 17.74%-13.3pp | 20.14%-15.7pp |
| Employer contribution / active EE | $1,351 | $1,680-19.6% | $2,370-43.0% | $2,281-40.8% |
| Participant deferral / active EE | $10,553 | $2,856+269.5% | $3,550+197.3% | $3,203+229.5% |
| Admin fee / account holder | $365 | $4,261-91.4% | $5,586-93.5% | $4,296-91.5% |