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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC1+ years Service code 49 · EIN 51-0120742 | Other Services | $10,146 |
PRINCIPAL LIFE INSURANCE COMPANY1+ years Service code 13 · EIN 42-0127290 | Contract Administrator | $6,097 |
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.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
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 | $42,731 | $72,770-41.3% | $67,652-36.8% | $55,191-22.6% |
| Participation rate | 59.7% | 78.8%-19.1pp | 75.7%-16.0pp | 69.2%-9.5pp |
| Annual return | -0.57% | -3.26%+2.7pp | 6625.40%-6626.0pp | 10.78%-11.4pp |
| Employer contribution / active EE | $282 | $1,769-84.1% | $2,266-87.5% | $1,899-85.1% |
| Participant deferral / active EE | $1,897 | $3,408-44.3% | $3,560-46.7% | $3,046-37.7% |
| Admin fee / account holder | $31 | $79-60.7% | $4,821-99.4% | $91-65.9% |