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| Provider | Service type | Compensation |
|---|---|---|
Filed as: MERRILL LYNCH, PIERCE, FENNER AND S Service code 15 · EIN 13-5674085 | Recordkeeping | $165,869 |
UBS FINANCIAL SERVICES INC4+ years Filed as: UBS FINANCIAL SERVICES, INC PAYMENT Service code 70 · EIN 13-2638166 | Consulting Fees | $60,000 |
CROWE LLP1 year Filed as: CROWE HORWATH Service code 10 · EIN 35-0921680 | Accounting | $18,200 |
CROWE LLP2 years Service code 10 · EIN 35-0921680 | Accounting | $7,625 |
Annual investment return 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 | $25,123 | $45,382-44.6% | $154,110-83.7% | $75,289-66.6% |
| Participation rate | 88.8% | 65.9%+22.9pp | 83.0%+5.8pp | 72.4%+16.4pp |
| Annual return | -7.42% | -0.47%-7.0pp | 735.22%-742.6pp | -0.04%-7.4pp |
| Employer contribution / active EE | $280 | $1,533-81.7% | $5,298-94.7% | $2,405-88.4% |
| Participant deferral / active EE | $2,987 | $2,384+25.3% | $5,081-41.2% | $3,739-20.1% |
| Admin fee / account holder | $44 | $89-50.6% | $13,412-99.7% | $102-56.9% |