Filed December 15, 1992
This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.
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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC1+ years Service code 50 · EIN 13-2638166 1285 AVENUE OF THE AMERICAS · NEW YORK, NY 10019 | Direct Payment | $40,602 |
BMO HARRIS BANK NA1+ years Filed as: BMO HARRIS BANK Service code 15 · EIN 39-1186267 111 EAST KILBOURNE AVENUE · MILWAUKEE, WI 53202 | Recordkeeping | $27,770 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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.
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 | $76,177 | $63,905+19.2% | $74,184+2.7% | $57,658+32.1% |
| Participation rate | 54.9% | 79.8%-24.9pp | 76.6%-21.7pp | 70.2%-15.3pp |
| Annual return | -2.70% | 60.60%-63.3pp | 17.74%-20.4pp | 5.13%-7.8pp |
| Employer contribution / active EE | $0 | $1,840-100.0% | $2,370-100.0% | $1,974-100.0% |
| Participant deferral / active EE | $3,670 | $3,448+6.4% | $3,550+3.4% | $3,061+19.9% |
| Admin fee / account holder | $332 | $91+264.4% | $5,586-94.1% | $95+251.1% |