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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 | $76,172+39.7% | $81,286+30.9% | $199,921-46.8% |
| Participation rate | 51.1% | 76.2%-25.1pp | 69.5%-18.4pp | 72.0%-20.9pp |
| Annual return | 25.72% | 15.59%+10.1pp | 24.80%+0.9pp | 34.28%-8.6pp |
| Employer contribution / active EE | $1,652 | $2,800-41.0% | $2,463-32.9% | $3,035-45.6% |
| Participant deferral / active EE | $3,904 | $4,200-7.1% | $3,883+0.5% | $5,089-23.3% |
| Admin fee / account holder | $458 | $146+213.6% | $5,764-92.1% | $269+70.2% |