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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC2+ years Service code 55 · EIN 13-2638166 | Other Commissions | $22,700 |
Service code 37 · EIN 04-2647786 | Loan Processing | $1,513 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll 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).
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 | $44,223 | $30,599+44.5% | $74,577-40.7% | $57,658-23.3% |
| Participation rate | 15.6% | 49.1%-33.6pp | 68.1%-52.5pp | 70.2%-54.6pp |
| Annual return | 9.34% | 14.24%-4.9pp | 20.47%-11.1pp | 5.13%+4.2pp |
| Employer contribution / active EE | $416 | $1,000-58.3% | $2,525-83.5% | $1,974-78.9% |
| Participant deferral / active EE | $721 | $1,805-60.1% | $3,458-79.2% | $3,061-76.5% |
| Admin fee / account holder | $10 | $98-89.4% | $4,138-99.7% | $95-89.0% |