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| Provider | Service type | Compensation |
|---|---|---|
Filed as: UBS FINANCIAL SERVICES, INC. Service code 15 · EIN 13-2638166 | Recordkeeping | $6,672 |
ADP BROKER-DEALER3 years Service code 49 · EIN 22-3319984 | Other Services | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Annual investment return is in the bottom quintile of the peer cohort.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
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 | $16,779 | $47,977-65.0% | $154,111-89.1% | $56,287-70.2% |
| Participation rate | 51.8% | 66.2%-14.3pp | 83.0%-31.2pp | 69.9%-18.0pp |
| Annual return | -8.62% | 3.54%-12.2pp | 735.18%-743.8pp | -9.96%+1.3pp |
| Employer contribution / active EE | $1,219 | $2,169-43.8% | $5,298-77.0% | $2,111-42.2% |
| Participant deferral / active EE | $2,421 | $2,392+1.2% | $5,081-52.4% | $3,350-27.7% |
| Admin fee / account holder | $71 | $438-83.8% | $13,411-99.5% | $521-86.4% |