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| Provider | Service type | Compensation |
|---|---|---|
Service code 15 · EIN 35-0145825 | Recordkeeping | $28,451 |
UBS FINANCIAL SERVICES INC3 years Filed as: UBS FINANCIAL SERVICES INC. Service code 16 · EIN 13-2638166 | Consulting | $10,644 |
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.
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 | $28,719 | $50,902-43.6% | $155,534-81.5% | $77,736-63.1% |
| Participation rate | 27.5% | 63.1%-35.6pp | 78.2%-50.7pp | 70.6%-43.1pp |
| Annual return | 12.40% | 34.85%-22.4pp | 64.92%-52.5pp | 31.26%-18.9pp |
| Employer contribution / active EE | $219 | $1,991-89.0% | $4,675-95.3% | $2,728-92.0% |
| Participant deferral / active EE | $955 | $2,824-66.2% | $5,630-83.0% | $4,651-79.5% |
| Admin fee / account holder | $6 | $437-98.7% | $15,900-100.0% | $433-98.6% |