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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC2+ years Service code 49 · EIN 51-0120742 | Other Services | $10,380 |
PRINCIPAL LIFE INSURANCE COMPANY2+ years Service code 13 · EIN 42-0127290 | Contract Administrator | $4,299 |
Service code 15 · EIN 13-3689044 | Recordkeeping | $1,269 |
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 | $48,744 | $60,165-19.0% | $74,184-34.3% | $55,167-11.6% |
| Participation rate | 62.3% | 74.2%-11.9pp | 76.6%-14.4pp | 69.0%-6.7pp |
| Annual return | 5.48% | 10.00%-4.5pp | 17.74%-12.3pp | 169.23%-163.8pp |
| Employer contribution / active EE | $294 | $1,600-81.6% | $2,370-87.6% | $1,963-85.0% |
| Participant deferral / active EE | $1,990 | $2,973-33.1% | $3,550-43.9% | $3,054-34.8% |
| Admin fee / account holder | $32 | $419-92.3% | $5,586-99.4% | $504-93.6% |