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| Provider | Service type | Compensation |
|---|---|---|
Filed as: UBS FINANCIAL SERVICES, INC. Service code 15 · EIN 13-2638166 | Recordkeeping | $5,975 |
ADP BROKER-DEALER1 year Filed as: ADP, LLC Service code 15 · EIN 13-3036745 | Recordkeeping | $800 |
ADP BROKER-DEALER1 year Service code 49 · EIN 22-3319984 | Other Services | $0 |
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.)
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $40,975 | $38,969+5.1% | $109,313-62.5% | $55,167-25.7% |
| Participation rate | 36.6% | 58.2%-21.6pp | 71.3%-34.6pp | 69.0%-32.4pp |
| Annual return | 6.25% | 8.26%-2.0pp | 22.07%-15.8pp | 169.23%-163.0pp |
| Employer contribution / active EE | $670 | $1,227-45.4% | $3,892-82.8% | $1,963-65.9% |
| Participant deferral / active EE | $1,070 | $2,176-50.8% | $3,166-66.2% | $3,054-65.0% |
| Admin fee / account holder | $646 | $501+29.0% | $5,666-88.6% | $504+28.3% |