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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Participant communication; Recordkeep... | $122,940 |
FIDUCIARY INVESTMENT ADVISORS6+ years Service code 28 · EIN 20-4751585 | Investment Management | $21,640 |
NATIONAL FINANCIAL SERVICES6+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $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 | $49,268 | $127,481-61.4% | $149,745-67.1% | $90,274-45.4% |
| Participation rate | 41.9% | 78.2%-36.3pp | 82.5%-40.6pp | 73.4%-31.5pp |
| Annual return | 26.72% | 57.78%-31.1pp | 276.72%-250.0pp | 53.97%-27.3pp |
| Employer contribution / active EE | $261 | $3,448-92.4% | $4,646-94.4% | $2,523-89.7% |
| Participant deferral / active EE | $2,553 | $6,975-63.4% | $6,843-62.7% | $4,231-39.6% |
| Admin fee / account holder | $146 | $152-4.1% | $9,312-98.4% | $114+27.6% |