Filed March 20, 2017 (most recent of 2 filings on file)
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| Provider | Service type | Compensation |
|---|---|---|
Service code 49 · EIN 04-1590850 | Other Services | $50,191 |
Filed as: UBS FINANCIAL SERVICES, INC. Service code 27 · EIN 13-2638166 | Advisory (Plan) | $24,092 |
AMERICAN FUNDS2 years Service code 52 · EIN 95-1411037 | Indirect Investment Fees | $0 |
CALVERT2 years Service code 52 · EIN 52-1233223 | Indirect Investment Fees | $0 |
COLUMBIA2 years Service code 52 · EIN 36-3376651 | Indirect Investment Fees | $0 |
DIMENSIONAL FUND ADVISORS2 years Service code 52 · EIN 36-3129984 | Indirect Investment Fees | $0 |
DODGE & COX2 years Service code 52 · EIN 94-6067274 | Indirect Investment Fees | $0 |
FRANKLIN TEMPLETON1 year Filed as: FRANKLINTEMPLETON Service code 52 · EIN 59-6865210 | Indirect Investment Fees | $0 |
GOLDMAN SACHS2 years Service code 52 · EIN 13-4166989 | Indirect Investment Fees | $0 |
INVESCO2 years Service code 52 · EIN 84-1142974 | Indirect Investment Fees | $0 |
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).
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 | $77,437 | $98,982-21.8% | $162,177-52.3% | $65,185+18.8% |
| Participation rate | 95.9% | 85.8%+10.2pp | 87.6%+8.4pp | 70.2%+25.7pp |
| Annual return | 26.22% | 24.84%+1.4pp | 115.60%-89.4pp | 29.38%-3.2pp |
| Employer contribution / active EE | $3,357 | $3,467-3.2% | $5,613-40.2% | $2,177+54.2% |
| Participant deferral / active EE | $3,905 | $5,384-27.5% | $7,297-46.5% | $3,514+11.1% |
| Admin fee / account holder | $527 | $596-11.7% | $10,843-95.1% | $847-37.8% |