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| Provider | Service type | Compensation |
|---|---|---|
ROCKEFELLER FINANCIAL LLC2 years Service code 15 · EIN 82-3226180 | Recordkeeping | $50,109 |
ADP BROKER-DEALER2 years Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $31,632 |
ADP BROKER-DEALER5 years Service code 59 · EIN 22-3319984 | Shareholder Servicing | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $148,247 | $77,677+90.8% | $109,173+35.8% | $79,391+86.7% |
| Participation rate | 63.2% | 67.8%-4.6pp | 75.9%-12.7pp | 70.7%-7.5pp |
| Annual return | 16.05% | 23.44%-7.4pp | 25.75%-9.7pp | 116.88%-100.8pp |
| Employer contribution / active EE | $1,516 | $2,798-45.8% | $3,723-59.3% | $2,428-37.6% |
| Participant deferral / active EE | $6,906 | $3,517+96.4% | $4,654+48.4% | $4,046+70.7% |
| Admin fee / account holder | $634 | $732-13.5% | $6,755-90.6% | $627+1.1% |