Filed October 31, 2017
Sign up free to preview peer percentile detail
Free accounts unlock saves, downloads, and 3-year history.
Sign up free to preview 9-year trajectory
Free accounts unlock saves, downloads, and 3-year history.
| Provider | Service type | Compensation |
|---|---|---|
Filed as: UBS FINANCIAL SERVICES INC. Service code 99 · EIN 13-2638166 | Other Fees | $10,865 |
Service code 64 · EIN 71-0294708 | Recordkeeping Fees | $9,050 |
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).
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 | $15,086 | $80,753-81.3% | $136,298-88.9% | $62,293-75.8% |
| Participation rate | 71.0% | 73.5%-2.5pp | 81.9%-10.9pp | 69.5%+1.5pp |
| Annual return | 54.01% | 35.83%+18.2pp | 5156.27%-5102.3pp | 28.90%+25.1pp |
| Employer contribution / active EE | $1,789 | $2,884-38.0% | $4,696-61.9% | $2,042-12.4% |
| Participant deferral / active EE | $5,336 | $5,164+3.3% | $6,247-14.6% | $3,169+68.4% |
| Admin fee / account holder | $34 | $525-93.5% | $9,244-99.6% | $479-92.8% |