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| Provider | Service type | Compensation |
|---|---|---|
Filed as: FIRST ALLIED ADVISORY SVCS Service code 26 · EIN 20-4187012 | Advisory (Participants) | $63,523 |
RSM US LLP2 years Service code 27 · EIN 42-0714325 | Advisory (Plan) | $34,125 |
Filed as: JOHN HANCOCK RETIREMENT PLAN SRVCS Service code 15 · EIN 01-0233346 | Recordkeeping | $28,368 |
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.)
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).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $63,385 | $46,332+36.8% | $143,797-55.9% | $64,824-2.2% |
| Participation rate | 34.7% | 64.2%-29.6pp | 80.3%-45.7pp | 71.5%-36.8pp |
| Annual return | -18.91% | -10.05%-8.9pp | -0.04%-18.9pp | 32.84%-51.8pp |
| Employer contribution / active EE | $0 | $1,911-100.0% | $4,952-100.0% | $2,507-100.0% |
| Participant deferral / active EE | $1,386 | $2,647-47.6% | $5,638-75.4% | $4,311-67.8% |
| Admin fee / account holder | $537 | $154+248.8% | $14,679-96.3% | $188+185.7% |