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| Provider | Service type | Compensation |
|---|---|---|
Filed as: TRANSAMERICA FINANCIAL LIFE INSURAN Service code 15 · EIN 36-6071399 | Recordkeeping | $45,454 |
LPL FINANCIAL5 years Filed as: LPL FINANCIAL CORPORATION Service code 27 · EIN 04-3046611 | Advisory (Plan) | $16,406 |
LEE CPA AUDIT GROUP5 years Service code 10 · EIN 81-4637885 | Accounting | $6,410 |
HUNNEX AND SHOEMAKER, INC.5 years Filed as: HUNNEX & SHOEMAKER, INC. Service code 15 · EIN 91-1072394 | Recordkeeping | $2,910 |
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.)
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 signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $61,661 | $65,555-5.9% | $86,216-28.5% | $75,173-18.0% |
| Participation rate | 25.8% | 60.5%-34.7pp | 69.0%-43.2pp | 67.2%-41.4pp |
| Annual return | -47.42% | 46.07%-93.5pp | 1169.42%-1216.8pp | 160.72%-208.1pp |
| Employer contribution / active EE | $835 | $1,553-46.3% | $2,382-64.9% | $2,671-68.7% |
| Participant deferral / active EE | $6,522 | $3,023+115.7% | $3,986+63.6% | $4,126+58.1% |
| Admin fee / account holder | $1,453 | $5,469-73.4% | $6,853-78.8% | $5,651-74.3% |