Filed May 28, 2026 (most recent of 2 filings on file)
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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC8+ years Service code 27 · EIN 13-2638166 | Advisory (Plan) | $22,898 |
PRINCIPAL LIFE INSURANCE COMPANY8+ years Service code 13 · EIN 42-0127290 | Contract Administrator | $19,770 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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 signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $49,758 | $51,223-2.9% | $82,763-39.9% | $66,949-25.7% |
| Participation rate | 64.9% | 67.9%-3.0pp | 72.6%-7.7pp | 69.8%-4.9pp |
| Annual return | -14.40% | -9.85%-4.6pp | 702.45%-716.9pp | 1.57%-16.0pp |
| Employer contribution / active EE | $1,966 | $2,611-24.7% | $3,008-34.7% | $2,545-22.8% |
| Participant deferral / active EE | $3,313 | $3,460-4.3% | $4,395-24.6% | $4,239-21.9% |
| Admin fee / account holder | $345 | $415-17.1% | $5,325-93.5% | $594-41.9% |