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| Provider | Service type | Compensation |
|---|---|---|
Service code 13 · EIN 42-0127290 | Contract Administrator | $33,551 |
Filed as: PRINCIPAL SECURITIES INC Service code 27 · EIN 42-0941553 | Advisory (Plan) | $23,294 |
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).
Plan reported corrective distributions (failed ADP/ACP testing).
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $39,398 | $71,873-45.2% | $86,698-54.6% | $68,490-42.5% |
| Participation rate | 86.3% | 72.2%+14.1pp | 76.6%+9.7pp | 67.9%+18.4pp |
| Annual return | -17.87% | 3.54%-21.4pp | 35.96%-53.8pp | -7.85%-10.0pp |
| Employer contribution / active EE | $0 | $2,173-100.0% | $2,837-100.0% | $2,597-100.0% |
| Participant deferral / active EE | $2,035 | $3,779-46.2% | $4,656-56.3% | $4,028-49.5% |
| Admin fee / account holder | $336 | $6,110-94.5% | $7,492-95.5% | $5,403-93.8% |