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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC2 years Service code 55 · EIN 13-2638166 | Other Commissions | $11,014 |
Service code 37 · EIN 04-2647786 | Loan Processing | $4,317 |
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 signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $31,400 | $78,275-59.9% | $109,173-71.2% | $86,821-63.8% |
| Participation rate | 50.9% | 73.8%-22.9pp | 75.9%-25.0pp | 72.3%-21.4pp |
| Annual return | 13.72% | 19.14%-5.4pp | 25.75%-12.0pp | 97.94%-84.2pp |
| Employer contribution / active EE | $642 | $3,105-79.3% | $3,723-82.8% | $2,406-73.3% |
| Participant deferral / active EE | $2,008 | $3,641-44.8% | $4,654-56.8% | $4,132-51.4% |
| Admin fee / account holder | $26 | $198-87.1% | $6,755-99.6% | $170-84.9% |