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| Provider | Service type | Compensation |
|---|---|---|
Service code 37 · EIN 04-2647786 | Loan Processing | $2,989 |
Service code 55 · EIN 35-2552359 | Other Commissions | $1,245 |
LPL FINANCIAL2 years Filed as: LPL FINANCIAL LLC Service code 61 · EIN 04-3046611 | Finders' fees / placement fees | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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).
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
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 | $27,952 | $66,302-57.8% | $110,243-74.6% | $56,287-50.3% |
| Participation rate | 60.6% | 74.9%-14.4pp | 79.8%-19.3pp | 69.9%-9.3pp |
| Annual return | -8.80% | -1.18%-7.6pp | 314.76%-323.6pp | -9.96%+1.2pp |
| Employer contribution / active EE | $983 | $2,047-52.0% | $3,827-74.3% | $2,111-53.4% |
| Participant deferral / active EE | $2,898 | $3,381-14.3% | $4,672-38.0% | $3,350-13.5% |
| Admin fee / account holder | $30 | $698-95.8% | $8,548-99.7% | $521-94.3% |