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| Provider | Service type | Compensation |
|---|---|---|
ADP BROKER-DEALER2+ years Filed as: ADP, LLC Service code 15 · EIN 13-3036745 | Recordkeeping | $1,600 |
ADP BROKER-DEALER2+ years Service code 49 · EIN 22-3319984 | Other Services | $0 |
UBS FINANCIAL SERVICES INC2+ years Filed as: UBS Service code 49 5 REVERE DRIVE · NORTHBROOK, IL 600628003 | Other Services | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $31,471 | $50,106-37.2% | $69,779-54.9% | $57,658-45.4% |
| Participation rate | 38.1% | 70.9%-32.7pp | 71.8%-33.7pp | 70.2%-32.1pp |
| Annual return | 8.27% | 14.58%-6.3pp | 12.99%-4.7pp | 5.13%+3.1pp |
| Employer contribution / active EE | $1,162 | $1,739-33.2% | $2,338-50.3% | $1,974-41.1% |
| Participant deferral / active EE | $2,170 | $2,486-12.7% | $2,931-25.9% | $3,061-29.1% |
| Admin fee / account holder | $11 | $89-87.8% | $4,381-99.8% | $95-88.5% |