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| Provider | Service type | Compensation |
|---|---|---|
Service code 15 · EIN 13-3689044 | Recordkeeping | $42,018 |
HILLTOP SECURITIES INC.1 year Filed as: HILLTOP SECURITIES, INC. Service code 22 | Insurance Broker | $15,446 |
HILLTOP SECURITIES INC.6 years Service code 22 · EIN 75-1653811 | Insurance Broker | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $65,812 | $54,717+20.3% | $86,216-23.7% | $71,511-8.0% |
| Participation rate | 67.3% | 60.1%+7.2pp | 69.0%-1.7pp | 67.9%-0.6pp |
| Annual return | 15.43% | 20.07%-4.6pp | 1169.42%-1154.0pp | 28.86%-13.4pp |
| Employer contribution / active EE | $1,542 | $1,267+21.7% | $2,382-35.3% | $2,589-40.4% |
| Participant deferral / active EE | $3,341 | $3,110+7.4% | $3,986-16.2% | $4,291-22.1% |
| Admin fee / account holder | $342 | $1,922-82.2% | $6,853-95.0% | $1,588-78.5% |