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| Provider | Service type | Compensation |
|---|---|---|
ADP BROKER-DEALER1 year Filed as: ADP, LLC Service code 15 · EIN 13-3036745 | Recordkeeping | $10,188 |
ADP BROKER-DEALER1 year Service code 49 · EIN 22-3319984 | Other Services | $0 |
SAGEPOINT FINANCIAL INC1 year Filed as: AIG SECURITIES A.K.A. SAGEPOINT ADV Service code 49 1245 W HUNTINGTON DRIVE STE 208 · ARCADIA, CA 91007 | Other Services | $0 |
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.
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 | $14,918 | $39,819-62.5% | $67,834-78.0% | $57,658-74.1% |
| Participation rate | 44.2% | 61.2%-17.1pp | 68.8%-24.6pp | 70.2%-26.1pp |
| Annual return | 4.71% | 9.19%-4.5pp | 138.47%-133.8pp | 5.13%-0.4pp |
| Employer contribution / active EE | $170 | $1,277-86.7% | $2,403-92.9% | $1,974-91.4% |
| Participant deferral / active EE | $953 | $2,209-56.9% | $3,160-69.8% | $3,061-68.9% |
| Admin fee / account holder | $65 | $84-22.4% | $4,622-98.6% | $95-31.3% |