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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC8 years Filed as: UBS Service code 26 · EIN 36-7364489 | Advisory (Participants) | $61,209 |
Service code 13 · EIN 31-1360674 | Contract Administrator | $7,125 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $78,237 | $90,064-13.1% | $100,392-22.1% | $77,736+0.6% |
| Participation rate | 43.3% | 81.3%-38.0pp | 81.5%-38.2pp | 70.6%-27.3pp |
| Annual return | 15.74% | 20.61%-4.9pp | 49.45%-33.7pp | 31.26%-15.5pp |
| Employer contribution / active EE | $1,683 | $3,043-44.7% | $3,941-57.3% | $2,728-38.3% |
| Participant deferral / active EE | $3,115 | $8,282-62.4% | $8,090-61.5% | $4,651-33.0% |
| Admin fee / account holder | $530 | $172+207.9% | $7,904-93.3% | $433+22.2% |