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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC3 years Filed as: UBS FINANCIAL SERVICES, INC. Service code 15 · EIN 13-2638166 | Recordkeeping | $11,770 |
BLUE CHIP RETIREMENT PLANS, INC.8+ years Filed as: BLUE & CO., LLC Service code 15 · EIN 35-1178661 | Recordkeeping | $10,965 |
ADP BROKER-DEALER8+ years Service code 49 · EIN 22-3319984 | Other Services | $0 |
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.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $74,328 | $27,800+167.4% | $58,507+27.0% | $71,529+3.9% |
| Participation rate | 24.8% | 34.6%-9.8pp | 50.9%-26.1pp | 67.9%-43.2pp |
| Annual return | 13.79% | 26.80%-13.0pp | 4252.32%-4238.5pp | 28.97%-15.2pp |
| Employer contribution / active EE | $0 | $632-100.0% | $1,053-100.0% | $2,590-100.0% |
| Participant deferral / active EE | $1,385 | $1,208+14.6% | $1,922-28.0% | $4,291-67.7% |
| Admin fee / account holder | $378 | $1,637-76.9% | $2,486-84.8% | $1,588-76.2% |