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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC9 years Filed as: UBS FINANCIAL SERVICES, INC. Service code 27 · EIN 13-2638166 1285 AVENUE OF THE AMERICAS · NEW YORK, NY 10019 | Advisory (Plan) | $30,929 |
4 funds of $250K or more; 8 lines in all, holding $7.7M of the plan's $13.6M. From the 2024 filing. Recordkeeper: Not identified.
| Fund | Dollars | % of funds% |
|---|---|---|
| Subtotal Charles Schwab Charles Schwab · Mutual fund | $3.8M | 49.8% |
| Subtotal UBS UT 52208 UN Manager not matched · Other | $1.3M | 17.4% |
| Subtotal UBS UT 52209 UN Manager not matched · Other | $1.2M | 16.3% |
| Subtotal UBS UT 52207 UN Manager not matched · Other | $1.1M | 14.7% |
| Subtotal Merrill Lynch Manager not matched · Other | $85K | 1.1% |
| UBS Liquid Assets Government Fund Manager not matched · Money market | $40K | 0.5% |
| Blackrock Common Stock BlackRock · Mutual fund | $18K | 0.2% |
| Common Stock 294 Fidelity (FMR) · Mutual fund | $323 | <0.1% |
Covers 71,410 large plans that list their funds in their annual filing. Updated Nov 6, 2026. Shares describe these plans, not the whole market.
Plan reported corrective distributions (failed ADP/ACP testing).
The auditor signed off without reservation. This is the cleanest opinion.