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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC3+ years Service code 55 · EIN 13-2638166 | Other Commissions | $40,541 |
Service code 37 · EIN 04-2647786 | Loan Processing | $4,975 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Annual investment return is in the bottom quintile of the peer cohort.
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 | $87,565 | $48,064+82.2% | $78,778+11.2% | $69,631+25.8% |
| Participation rate | 38.0% | 61.6%-23.6pp | 69.2%-31.2pp | 70.7%-32.7pp |
| Annual return | 13.85% | 21.81%-8.0pp | 35.62%-21.8pp | 27571.02%-27557.2pp |
| Employer contribution / active EE | $293 | $744-60.5% | $1,986-85.2% | $2,032-85.6% |
| Participant deferral / active EE | $2,251 | $2,079+8.2% | $2,958-23.9% | $3,224-30.2% |
| Admin fee / account holder | $29 | $152-81.2% | $5,134-99.4% | $110-74.1% |