Filed May 28, 2026 (most recent of 2 filings on file)
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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC10+ years Service code 27 · EIN 13-2638166 | Advisory (Plan) | $24,025 |
PRINCIPAL LIFE INSURANCE COMPANY10+ years Service code 13 · EIN 42-0127290 | Contract Administrator | $23,957 |
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.)
Annual investment return is in the bottom quintile of the peer cohort.
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 | $57,945 | $60,454-4.1% | $81,844-29.2% | $74,459-22.2% |
| Participation rate | 67.5% | 63.0%+4.6pp | 72.4%-4.8pp | 67.2%+0.3pp |
| Annual return | 8.72% | 16.87%-8.1pp | 778.87%-770.1pp | 1369.70%-1361.0pp |
| Employer contribution / active EE | $2,251 | $2,630-14.4% | $2,916-22.8% | $2,626-14.3% |
| Participant deferral / active EE | $3,646 | $3,398+7.3% | $4,323-15.7% | $4,350-16.2% |
| Admin fee / account holder | $470 | $1,490-68.4% | $7,355-93.6% | $1,945-75.8% |