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| Provider | Service type | Compensation |
|---|---|---|
SECURITIES AMERICA INC1+ years Filed as: SECURITIES AMERICA ADVISORS, INC. Service code 15 · EIN 47-0648506 | Recordkeeping | $15,672 |
ADP BROKER-DEALER1+ years Filed as: ADP, LLC Service code 15 · EIN 13-3036745 | Recordkeeping | $1,025 |
ADP BROKER-DEALER1+ years Service code 49 · EIN 22-3319984 | Other Services | $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.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $55,623 | $52,884+5.2% | $84,753-34.4% | $55,167+0.8% |
| Participation rate | 51.4% | 67.5%-16.1pp | 76.6%-25.2pp | 69.0%-17.6pp |
| Annual return | 10.26% | 18.03%-7.8pp | 22.78%-12.5pp | 169.23%-159.0pp |
| Employer contribution / active EE | $395 | $2,233-82.3% | $3,574-89.0% | $1,963-79.9% |
| Participant deferral / active EE | $3,999 | $2,644+51.3% | $3,712+7.7% | $3,054+30.9% |
| Admin fee / account holder | $304 | $581-47.7% | $5,333-94.3% | $504-39.7% |