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| Provider | Service type | Compensation |
|---|---|---|
Service code 15 · EIN 13-3689044 | Recordkeeping | $12,865 |
UBS FINANCIAL SERVICES INC2 years Filed as: UBS FINANCIAL SERVICES, INC Service code 27 · EIN 13-2638166 | Advisory (Plan) | $12,228 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $41,901 | $65,092-35.6% | $143,799-70.9% | $66,938-37.4% |
| Participation rate | 65.3% | 65.2%+0.1pp | 80.3%-15.0pp | 69.8%-4.5pp |
| Annual return | -17.15% | -11.14%-6.0pp | -0.04%-17.1pp | 1.58%-18.7pp |
| Employer contribution / active EE | $1,565 | $2,362-33.7% | $4,952-68.4% | $2,545-38.5% |
| Participant deferral / active EE | $3,321 | $2,920+13.7% | $5,638-41.1% | $4,238-21.7% |
| Admin fee / account holder | $207 | $502-58.7% | $14,677-98.6% | $594-65.1% |