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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Sales loads (front end and deferred);... | $241,441 |
UBS FINANCIAL SERVICES INC3 years Filed as: UBS FINANCIAL SERVICES INC. Service code 16 · EIN 13-2638166 | Consulting | $124,189 |
SAGEVIEW ADVISORY GROUP, LLC4 years Filed as: SAGEVIEW ADVISORY GRP INC Service code 16 · EIN 33-0818667 | Consulting | $26,399 |
NATIONAL FINANCIAL SERVICES3 years Service code 33 | Securities brokerage; Securities brok... | $0 |
NATIONAL FINANCIAL SERVICES3 years Filed as: NATIONAL FINANCIAL SERVICES, INC. Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
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 | $31,891 | $95,776-66.7% | $162,171-80.3% | $77,775-59.0% |
| Participation rate | 73.4% | 88.6%-15.3pp | 87.6%-14.2pp | 73.2%+0.2pp |
| Annual return | 32.22% | 37.03%-4.8pp | 115.60%-83.4pp | 32.58%-0.4pp |
| Employer contribution / active EE | $603 | $3,874-84.4% | $5,613-89.2% | $2,504-75.9% |
| Participant deferral / active EE | $3,993 | $6,125-34.8% | $7,297-45.3% | $3,966+0.7% |
| Admin fee / account holder | $107 | $88+22.5% | $10,843-99.0% | $100+7.4% |