Filed March 17, 2021 (most recent of 2 filings on file)
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| Provider | Service type | Compensation |
|---|---|---|
ADP BROKER-DEALER3 years Filed as: ADP, LLC Service code 15 · EIN 13-3036745 | Recordkeeping | $27,712 |
UBS FINANCIAL SERVICES INC3 years Filed as: UBS FINANCIAL SERVICES, INC. Service code 15 · EIN 13-2638166 | Recordkeeping | $19,600 |
BONADIO & CO., LLP2 years Filed as: BONADIO & CO LLP Service code 15 · EIN 16-1131146 | Recordkeeping | $5,850 |
ADP BROKER-DEALER3 years Service code 49 · EIN 22-3319984 | Other Services | $0 |
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).
Plan reported corrective distributions (failed ADP/ACP testing).
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 | $14,025 | $62,928-77.7% | $172,755-91.9% | $67,579-79.2% |
| Participation rate | 96.5% | 64.5%+32.1pp | 82.6%+13.9pp | 71.3%+25.3pp |
| Annual return | 5.64% | 30.36%-24.7pp | 802.94%-797.3pp | 378.56%-372.9pp |
| Employer contribution / active EE | $0 | $1,636-100.0% | $5,144-100.0% | $2,148-100.0% |
| Participant deferral / active EE | $2,170 | $2,145+1.2% | $5,198-58.2% | $3,539-38.7% |
| Admin fee / account holder | $145 | $167-13.1% | $13,955-99.0% | $142+1.8% |