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| Provider | Service type | Compensation |
|---|---|---|
Filed as: UBS FINANCIAL SERVICE INC Service code 26 | Advisory (Participants) | $6,881 |
Filed as: JOHN HANCOCK USA Service code 15 · EIN 01-0233346 | Recordkeeping | $752 |
Filed as: UBS FINANCIAL SERVICES INC. Service code 26 · EIN 13-2638166 | Advisory (Participants) | $0 |
Counterparties on defaulted loans (Part 1), defaulted leases (Part 2), and non-exempt prohibited transactions (Part 3). Presence of any row warrants fiduciary review.
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Employer contribution per participant is in the bottom quintile of the peer cohort.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
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 | $21,171 | $56,640-62.6% | $78,002-72.9% | $55,167-61.6% |
| Participation rate | 89.0% | 73.3%+15.7pp | 75.5%+13.5pp | 69.0%+20.0pp |
| Annual return | 12.63% | 2868.48%-2855.8pp | 425.99%-413.4pp | 169.23%-156.6pp |
| Employer contribution / active EE | $361 | $1,724-79.0% | $2,470-85.4% | $1,963-81.6% |
| Participant deferral / active EE | $3,382 | $2,778+21.8% | $3,497-3.3% | $3,054+10.7% |
| Admin fee / account holder | $150 | $467-67.9% | $5,481-97.3% | $504-70.3% |