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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC2+ years Service code 49 · EIN 51-0120742 | Other Services | $8,238 |
PRINCIPAL LIFE INSURANCE COMPANY2+ years Service code 13 · EIN 42-0127290 | Contract Administrator | $7,180 |
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.
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 | $35,782 | $60,349-40.7% | $74,184-51.8% | $62,881-43.1% |
| Participation rate | 38.7% | 72.7%-34.0pp | 76.6%-37.9pp | 69.3%-30.6pp |
| Annual return | 6.24% | 21.38%-15.1pp | 17.74%-11.5pp | 20.14%-13.9pp |
| Employer contribution / active EE | $264 | $1,680-84.3% | $2,370-88.9% | $2,281-88.4% |
| Participant deferral / active EE | $1,556 | $2,856-45.5% | $3,550-56.2% | $3,203-51.4% |
| Admin fee / account holder | $141 | $4,261-96.7% | $5,586-97.5% | $4,296-96.7% |