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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC1+ years Filed as: UBS FINANCIAL SERVICES, INC. Service code 27 750 WASHINGTON BLVD · STAMFORD, CT 06901 | Advisory (Plan) | $23,829 |
EXPERTPLAN, INC.1+ years Service code 37 · EIN 52-2269494 | Loan Processing | $5,138 |
ASCENSUS LLC1+ years Filed as: ASCENSUS CONSULTING, LLC Service code 37 · EIN 11-3665754 | Loan Processing | $1,933 |
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 | $55,921 | $57,108-2.1% | $94,228-40.7% | $52,331+6.9% |
| Participation rate | 67.6% | 72.9%-5.3pp | 78.8%-11.1pp | 68.1%-0.5pp |
| Annual return | -1.88% | 1.47%-3.3pp | 10.68%-12.6pp | 4.54%-6.4pp |
| Employer contribution / active EE | $1,679 | $1,735-3.2% | $3,587-53.2% | $1,882-10.8% |
| Participant deferral / active EE | $5,479 | $3,040+80.2% | $4,320+26.8% | $3,022+81.3% |
| Admin fee / account holder | $129 | $546-76.5% | $6,269-97.9% | $592-78.3% |