Filed March 8, 2021
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| Provider | Service type | Compensation |
|---|---|---|
ADP BROKER-DEALER4+ years Filed as: ADP, LLC Service code 15 · EIN 13-3036745 | Recordkeeping | $3,354 |
ADP BROKER-DEALER4+ years Service code 49 · EIN 22-3319984 | Other Services | $0 |
Filed as: KESTRA INVESTMENT SERVICES Service code 49 18201 VON KARMAN AVE · IRVINE, CA 92612 | Other Services | $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.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
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 | $18,500 | $37,196-50.3% | $154,111-88.0% | $55,725-66.8% |
| Participation rate | 32.1% | 64.1%-32.0pp | 83.0%-50.9pp | 70.9%-38.7pp |
| Annual return | -6.49% | 1319.68%-1326.2pp | 735.18%-741.7pp | 244.93%-251.4pp |
| Employer contribution / active EE | $516 | $1,614-68.0% | $5,298-90.3% | $2,078-75.2% |
| Participant deferral / active EE | $2,075 | $2,068+0.3% | $5,081-59.2% | $3,356-38.2% |
| Admin fee / account holder | $11 | $102-89.0% | $13,411-99.9% | $115-90.3% |