Filed May 28, 2026 (most recent of 2 filings on file)
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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC9+ years Service code 27 · EIN 13-2638166 | Advisory (Plan) | $29,893 |
PRINCIPAL LIFE INSURANCE COMPANY9+ years Service code 13 · EIN 42-0127290 | Contract Administrator | $21,805 |
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.)
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 | $54,620 | $58,312-6.3% | $86,656-37.0% | $71,529-23.6% |
| Participation rate | 69.3% | 65.0%+4.3pp | 71.7%-2.4pp | 67.9%+1.4pp |
| Annual return | 14.25% | 24.08%-9.8pp | 593.09%-578.8pp | 28.97%-14.7pp |
| Employer contribution / active EE | $2,224 | $2,576-13.7% | $3,025-26.5% | $2,590-14.1% |
| Participant deferral / active EE | $3,686 | $3,439+7.2% | $4,439-17.0% | $4,291-14.1% |
| Admin fee / account holder | $414 | $1,057-60.8% | $5,619-92.6% | $1,588-73.9% |