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| Provider | Service type | Compensation |
|---|---|---|
Filed as: AVANTAX PLANNING PARTNERS Service code 26 · EIN 42-1447865 | Advisory (Participants) | $73,302 |
Service code 12 · EIN 93-2789379 | Direct payment from the plan; Recordk... | $59,999 |
Service code 12 · EIN 47-0098400 | Participant communication; Other serv... | $19,049 |
Filed as: CHARLES SCHWAB BANK Service code 19 · EIN 82-3967259 | Securities Custodian | $3,600 |
Service code 19 | Securities Custodian | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
Employer contribution per participant is in the bottom quintile of the peer cohort.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
The auditor signed off without reservation. This is the cleanest opinion.