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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC5+ years Service code 55 · EIN 13-2638166 | Other Commissions | $43,015 |
Service code 37 · EIN 04-2647786 | Loan Processing | $3,200 |
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 | $77,540 | $40,174+93.0% | $84,023-7.7% | $67,582+14.7% |
| Participation rate | 41.5% | 62.7%-21.2pp | 69.0%-27.5pp | 71.3%-29.8pp |
| Annual return | 21.74% | 25.82%-4.1pp | 71.32%-49.6pp | 378.57%-356.8pp |
| Employer contribution / active EE | $158 | $808-80.5% | $1,984-92.0% | $2,148-92.7% |
| Participant deferral / active EE | $2,385 | $2,301+3.6% | $3,239-26.4% | $3,539-32.6% |
| Admin fee / account holder | $15 | $128-88.0% | $6,102-99.7% | $142-89.2% |