Filed March 7, 2013
This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.
See peer percentile detail. $4.99 for your first month.
Solo adds 10-year history, peer benchmarks, provider and welfare analytics, saves, and exports. Then $34.99 a month.
See the 10-year trajectory. $4.99 for your first month.
Solo adds 10-year history, peer benchmarks, provider and welfare analytics, saves, and exports. Then $34.99 a month.
| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Sales loads (front end and deferred);... | $79,070 |
UBS FINANCIAL SERVICES INC2 years Filed as: USB FINANCIAL SERVICES INC Service code 16 · EIN 13-2638166 | Consulting | $27,671 |
NATIONAL FINANCIAL SERVICES2 years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
The auditor declined to give an opinion. This is usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $28,646 | $29,516-2.9% | $77,482-63.0% | $90,288-68.3% |
| Participation rate | 46.0% | 33.7%+12.3pp | 54.2%-8.2pp | 73.4%-27.4pp |
| Annual return | 12.42% | 231.18%-218.8pp | 54.79%-42.4pp | 53.97%-41.5pp |
| Employer contribution / active EE | $141 | $381-62.9% | $986-85.7% | $2,524-94.4% |
| Participant deferral / active EE | $675 | $944-28.5% | $1,861-63.7% | $4,232-84.0% |
| Admin fee / account holder | $39 | $106-63.2% | $2,858-98.6% | $114-65.8% |