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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC3 years Filed as: UBS FINANCIAL Service code 27 1780 HUGHES LANDING BLVD · THE WOODLANDS, TX 77380 | Advisory (Plan) | $35,304 |
Filed as: JOHN HANCOCK RETIREMENT PLAN SRVCS Service code 15 · EIN 01-0233346 | Recordkeeping | $29,104 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer 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.)
Annual investment return is in the bottom quintile of the peer cohort.
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 | $194,288 | $72,554+167.8% | $138,135+40.7% | $73,497+164.3% |
| Participation rate | 0.0% | 74.8%-74.8pp | 78.7%-78.7pp | 70.7%-70.7pp |
| Annual return | 7.40% | 17.50%-10.1pp | 20.51%-13.1pp | 28.51%-21.1pp |
| Employer contribution / active EE | $899 | $3,511-74.4% | $5,587-83.9% | $2,270-60.4% |
| Participant deferral / active EE | $4,770 | $4,908-2.8% | $6,431-25.8% | $3,740+27.5% |
| Admin fee / account holder | $1,056 | $464+127.4% | $11,856-91.1% | $513+105.8% |