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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Float revenue; Account maintenance fe... | $323,591 |
UBS FINANCIAL SERVICES INC2 years Filed as: UBS FINANCIAL SERVICES INC. Service code 16 · EIN 13-2638166 | Consulting | $121,765 |
SAGEVIEW ADVISORY GROUP, LLC3 years Filed as: SAGEVIEW ADVISORY GRP INC Service code 16 · EIN 33-0818667 | Consulting | $24,643 |
NATIONAL FINANCIAL SERVICES2 years Service code 33 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES2 years Filed as: NATIONAL FINANCIAL SERVICES, INC. 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.
Employer contribution per participant is in the bottom quintile of the peer cohort.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
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 | $29,053 | $82,546-64.8% | $140,019-79.3% | $75,289-61.4% |
| Participation rate | 62.9% | 88.4%-25.5pp | 87.5%-24.6pp | 72.4%-9.6pp |
| Annual return | -2.57% | -0.36%-2.2pp | 651.15%-653.7pp | -0.04%-2.5pp |
| Employer contribution / active EE | $674 | $3,856-82.5% | $5,605-88.0% | $2,405-72.0% |
| Participant deferral / active EE | $4,122 | $5,731-28.1% | $6,927-40.5% | $3,739+10.3% |
| Admin fee / account holder | $171 | $86+99.8% | $10,705-98.4% | $102+67.5% |