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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC4 years Filed as: UBS FINANCIAL Service code 27 1780 HUGHES LANDING BLVD · THE WOODLANDS, TX 77380 | Advisory (Plan) | $33,735 |
Filed as: JOHN HANCOCK Service code 15 · EIN 01-0233346 | Recordkeeping | $27,028 |
FORVIS, LLP1 year Service code 10 · EIN 44-0160260 | Accounting | $25,636 |
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.
Plan reported corrective distributions (failed ADP/ACP testing).
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $70,903 | $92,303-23.2% | $152,473-53.5% | $86,821-18.3% |
| Participation rate | 38.0% | 81.1%-43.1pp | 78.2%-40.2pp | 72.3%-34.3pp |
| Annual return | 12.31% | 531.69%-519.4pp | 757.59%-745.3pp | 97.94%-85.6pp |
| Employer contribution / active EE | $0 | $3,748-100.0% | $4,326-100.0% | $2,406-100.0% |
| Participant deferral / active EE | $2,906 | $5,599-48.1% | $5,817-50.1% | $4,132-29.7% |
| Admin fee / account holder | $502 | $150+235.1% | $15,811-96.8% | $170+196.2% |