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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Participant loan processing; Particip... | $9,186 |
UBS FINANCIAL SERVICES INC1+ years Filed as: UBS FINANCIAL SERVICES Service code 16 · EIN 13-2638166 | Consulting | $6,936 |
MID ATLANTIC CAPITAL CORPORATION1+ years Service code 33 · EIN 25-1409618 | Securities brokerage; Securities brok... | $0 |
NATIONAL FINANCIAL SERVICES1+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Annual investment return 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.
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 declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $12,344 | $46,360-73.4% | $147,617-91.6% | $52,331-76.4% |
| Participation rate | 98.7% | 64.9%+33.7pp | 84.6%+14.1pp | 68.1%+30.6pp |
| Annual return | -2.07% | 1.62%-3.7pp | 61.98%-64.0pp | 4.54%-6.6pp |
| Employer contribution / active EE | $2,647 | $2,126+24.5% | $5,565-52.4% | $1,882+40.7% |
| Participant deferral / active EE | $3,695 | $2,258+63.7% | $4,895-24.5% | $3,022+22.3% |
| Admin fee / account holder | $60 | $766-92.1% | $11,611-99.5% | $592-89.8% |