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| Provider | Service type | Compensation |
|---|---|---|
ADP BROKER-DEALER1 year Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $1,763 |
ADP BROKER-DEALER4 years Service code 49 · EIN 22-3319984 | Other Services | $0 |
UBS FINANCIAL SERVICES INC4 years Filed as: UBS Service code 49 3450 DOWLEN ROAD · BEAUMONT, TX 77706 | Other Services | $0 |
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match 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).
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 | $11,121 | $62,132-82.1% | $185,827-94.0% | $73,493-84.9% |
| Participation rate | 80.8% | 67.8%+13.0pp | 78.0%+2.8pp | 70.7%+10.1pp |
| Annual return | 16.19% | 20.44%-4.2pp | 35.96%-19.8pp | 28.51%-12.3pp |
| Employer contribution / active EE | $1,007 | $1,681-40.1% | $4,087-75.4% | $2,270-55.6% |
| Participant deferral / active EE | $1,519 | $3,711-59.1% | $5,633-73.0% | $3,740-59.4% |
| Admin fee / account holder | $10 | $419-97.5% | $9,502-99.9% | $513-98.0% |