Filed March 17, 2016
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 |
|---|---|---|
Filed as: UBS FINANCIAL SERVICES, INC. Service code 27 | Advisory (Plan) | $20,412 |
PRINCIPAL LIFE INSURANCE COMPANY2+ years Service code 13 · EIN 42-0127290 | Contract Administrator | $9,300 |
UBS FINANCIAL SERVICES INC2+ years Filed as: UBS FINANCIAL SERVICES INC. Service code 70 · EIN 13-2638166 | Consulting Fees | $0 |
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.
Annual investment return is in the bottom quintile of the peer cohort.
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 | $39,539 | $43,110-8.3% | $156,551-74.7% | $65,292-39.4% |
| Participation rate | 5.2% | 69.3%-64.1pp | 84.0%-78.8pp | 72.4%-67.2pp |
| Annual return | 6.40% | 11.24%-4.8pp | 32.23%-25.8pp | 11.84%-5.4pp |
| Employer contribution / active EE | $0 | $1,702-100.0% | $5,501-100.0% | $2,302-100.0% |
| Participant deferral / active EE | $200 | $2,520-92.1% | $4,871-95.9% | $3,579-94.4% |
| Admin fee / account holder | $11 | $47-75.9% | $13,028-99.9% | $57-80.2% |