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| Provider | Service type | Compensation |
|---|---|---|
ADP BROKER-DEALER1 year Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $3,985 |
ADP BROKER-DEALER2 years Service code 59 · EIN 22-3319984 | Shareholder Servicing | $0 |
UBS FINANCIAL SERVICES INC2 years Filed as: UBS Service code 49 17140 BERNARDO CENTER DR · SAN DIEGO, CA 92128 | Other Services | $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.
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 | $29,700 | $69,383-57.2% | $101,275-70.7% | $73,497-59.6% |
| Participation rate | 39.1% | 68.4%-29.3pp | 75.8%-36.7pp | 70.7%-31.6pp |
| Annual return | 18.62% | 18.46%+0.2pp | 46.48%-27.9pp | 28.51%-9.9pp |
| Employer contribution / active EE | $836 | $2,628-68.2% | $3,660-77.2% | $2,270-63.2% |
| Participant deferral / active EE | $1,376 | $3,301-58.3% | $4,371-68.5% | $3,740-63.2% |
| Admin fee / account holder | $75 | $704-89.3% | $5,948-98.7% | $513-85.3% |