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| Provider | Service type | Compensation |
|---|---|---|
LOCKTON INVESTMENT ADVISORS, LLC2+ years Filed as: LOCKTON FINANCIAL ADVISORS, LLC Service code 22 · EIN 20-3247391 | Insurance Broker | $8,754 |
Filed as: TRANSAMERICA FINANCIAL LIFE INSURAN Service code 15 · EIN 36-6071399 | Recordkeeping | $5,720 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant 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 declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $65,073 | $58,758+10.7% | $69,779-6.7% | $63,975+1.7% |
| Participation rate | 23.9% | 77.5%-53.6pp | 71.8%-47.9pp | 71.1%-47.3pp |
| Annual return | 7.72% | 18.05%-10.3pp | 12.99%-5.3pp | 48.65%-40.9pp |
| Employer contribution / active EE | $35 | $1,973-98.2% | $2,338-98.5% | $2,182-98.4% |
| Participant deferral / active EE | $2,177 | $2,912-25.2% | $2,931-25.7% | $3,356-35.1% |
| Admin fee / account holder | $13 | $71-81.0% | $4,381-99.7% | $70-80.8% |