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| Provider | Service type | Compensation |
|---|---|---|
Filed as: TRANSAMERICA LIFE INSURANCE COMPANY Service code 15 · EIN 39-0989781 | Recordkeeping | $26,838 |
UBS FINANCIAL SERVICES INC1+ years Filed as: UBS FINANCIAL SERVICES, INC. Service code 27 · EIN 13-2638166 | Advisory (Plan) | $23,124 |
SIKICH LLP1+ years Filed as: SIKICH Service code 27 · EIN 36-3168081 | Advisory (Plan) | $12,500 |
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 | $20,890 | $31,109-32.8% | $67,704-69.1% | $52,331-60.1% |
| Participation rate | 29.5% | 54.0%-24.5pp | 67.5%-38.0pp | 68.1%-38.6pp |
| Annual return | -0.71% | 23.70%-24.4pp | 25.41%-26.1pp | 4.54%-5.3pp |
| Employer contribution / active EE | $134 | $1,076-87.6% | $2,559-94.8% | $1,882-92.9% |
| Participant deferral / active EE | $892 | $1,970-54.7% | $3,585-75.1% | $3,022-70.5% |
| Admin fee / account holder | $115 | $466-75.3% | $4,255-97.3% | $592-80.5% |