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| Provider | Service type | Compensation |
|---|---|---|
FIRST CLEARING LLC1+ years Service code 55 · EIN 23-2384840 | Other Commissions | $17,185 |
Service code 37 · EIN 04-2647786 | Loan Processing | $638 |
Employer contribution per participant is in the bottom quintile of the peer cohort.
Annual investment return 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 | $65,700 | $70,002-6.1% | $115,038-42.9% | $52,331+25.5% |
| Participation rate | 77.3% | 72.1%+5.2pp | 81.4%-4.0pp | 68.1%+9.2pp |
| Annual return | -1.95% | 4.04%-6.0pp | 26.14%-28.1pp | 4.54%-6.5pp |
| Employer contribution / active EE | $6 | $2,715-99.8% | $4,608-99.9% | $1,882-99.7% |
| Participant deferral / active EE | $6,652 | $4,920+35.2% | $6,026+10.4% | $3,022+120.1% |
| Admin fee / account holder | $5 | $566-99.2% | $8,175-99.9% | $592-99.2% |