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| Provider | Service type | Compensation |
|---|---|---|
Filed as: THE PRUDENTIAL INSURANCE COMPANY Service code 13 · EIN 22-1211670 | Contract Administrator | $6,600 |
LOCKTON INVESTMENT ADVISORS, LLC2+ years Filed as: LOCKTON FINANCIAL ADVISORS, LLC Service code 33 · EIN 20-3247391 | Securities brokerage commissions and ... | $0 |
Filed as: PRUDENTIAL RETIREMENT INSURANCE Service code 15 · EIN 06-1050034 | Recordkeeping | $0 |
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.
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 | $48,646 | $37,044+31.3% | $71,796-32.2% | $57,658-15.6% |
| Participation rate | 40.9% | 61.1%-20.2pp | 69.1%-28.2pp | 70.2%-29.3pp |
| Annual return | 7.06% | 12.64%-5.6pp | 78.04%-71.0pp | 5.13%+1.9pp |
| Employer contribution / active EE | $132 | $720-81.6% | $1,924-93.1% | $1,974-93.3% |
| Participant deferral / active EE | $1,943 | $1,974-1.6% | $2,794-30.5% | $3,061-36.5% |
| Admin fee / account holder | $35 | $101-65.8% | $4,815-99.3% | $95-63.4% |