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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC4+ years Service code 55 · EIN 13-2638166 | Other Commissions | $43,886 |
Service code 37 · EIN 04-2647786 | Loan Processing | $4,125 |
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.
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 | $73,957 | $35,485+108.4% | $74,551-0.8% | $55,725+32.7% |
| Participation rate | 38.1% | 62.5%-24.5pp | 69.1%-31.1pp | 70.9%-32.8pp |
| Annual return | -3.08% | 0.72%-3.8pp | 32.53%-35.6pp | 244.93%-248.0pp |
| Employer contribution / active EE | $146 | $777-81.2% | $1,961-92.5% | $2,078-93.0% |
| Participant deferral / active EE | $2,152 | $2,181-1.3% | $3,108-30.8% | $3,356-35.9% |
| Admin fee / account holder | $23 | $114-80.0% | $5,059-99.5% | $115-80.1% |