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| Provider | Service type | Compensation |
|---|---|---|
Filed as: UBS FINANCIAL SERVICES Service code 27 · EIN 13-2638166 | Advisory (Plan) | $53,997 |
Service code 13 · EIN 42-0127290 | Contract Administrator | $13,437 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $121,778 | $102,385+18.9% | $147,080-17.2% | $80,935+50.5% |
| Participation rate | 96.3% | 75.9%+20.4pp | 82.2%+14.1pp | 67.7%+28.6pp |
| Annual return | 11.39% | 135.09%-123.7pp | 420.17%-408.8pp | 35.66%-24.3pp |
| Employer contribution / active EE | $7,392 | $3,717+98.9% | $4,933+49.8% | $2,757+168.2% |
| Participant deferral / active EE | $16,899 | $6,651+154.1% | $8,066+109.5% | $4,299+293.1% |
| Admin fee / account holder | $624 | $7,951-92.1% | $12,989-95.2% | $6,924-91.0% |