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| Provider | Service type | Compensation |
|---|---|---|
Filed as: UBS FINANCIAL SERVICES, INC. Service code 15 · EIN 13-2638166 | Recordkeeping | $259,296 |
ADP BROKER-DEALER5 years Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $141,052 |
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 | $106,378 | $76,209+39.6% | $81,370+30.7% | $200,096-46.8% |
| Participation rate | 51.1% | 76.4%-25.2pp | 69.5%-18.4pp | 72.0%-20.9pp |
| Annual return | 25.72% | 15.55%+10.2pp | 24.85%+0.9pp | 34.26%-8.5pp |
| Employer contribution / active EE | $1,652 | $2,807-41.2% | $2,464-33.0% | $3,038-45.6% |
| Participant deferral / active EE | $3,904 | $4,210-7.3% | $3,885+0.5% | $5,090-23.3% |
| Admin fee / account holder | $458 | $146+213.7% | $5,749-92.0% | $269+70.1% |