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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC3 years Service code 55 · EIN 13-2638166 | Other Commissions | $11,772 |
Service code 37 · EIN 04-2647786 | Loan Processing | $350 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Annual investment return is in the bottom quintile of the peer cohort.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $64,776 | $35,485+82.5% | $74,549-13.1% | $55,725+16.2% |
| Participation rate | 21.5% | 62.5%-41.0pp | 69.1%-47.6pp | 70.9%-49.3pp |
| Annual return | -8.28% | 0.72%-9.0pp | 32.53%-40.8pp | 244.93%-253.2pp |
| Employer contribution / active EE | $808 | $777+4.0% | $1,961-58.8% | $2,078-61.1% |
| Participant deferral / active EE | $1,659 | $2,181-23.9% | $3,108-46.6% | $3,356-50.6% |
| Admin fee / account holder | $5 | $114-95.7% | $5,059-99.9% | $115-95.8% |