Filed August 19, 2016
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| Provider | Service type | Compensation |
|---|---|---|
NFP RETIREMENT INC3+ years Filed as: NFP RETIREMENT Service code 27 120 VANTIS · ALISO VIEJO, CA 92656 | Advisory (Plan) | $71,710 |
ASCENSUS LLC3+ years Filed as: ASCENSUS Service code 15 · EIN 11-3665754 | Recordkeeping | $27,869 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $63,339 | $64,909-2.4% | $82,313-23.1% | $62,293+1.7% |
| Participation rate | 70.7% | 74.9%-4.1pp | 76.9%-6.2pp | 69.5%+1.2pp |
| Annual return | 16.38% | 21.18%-4.8pp | 25.88%-9.5pp | 28.90%-12.5pp |
| Employer contribution / active EE | $978 | $1,676-41.6% | $2,428-59.7% | $2,042-52.1% |
| Participant deferral / active EE | $4,224 | $3,103+36.1% | $3,706+14.0% | $3,169+33.3% |
| Admin fee / account holder | $436 | $440-0.9% | $5,608-92.2% | $479-9.1% |