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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC5+ years Filed as: UBS FINANCIAL SERVICES, INC. Service code 16 · EIN 13-2638166 | Consulting | $18,201 |
Filed as: TRANSAMERICA LIFE INSURANCE COMPANY Service code 15 · EIN 39-0989781 | Recordkeeping | $17,001 |
SIKICH LLP5+ years Filed as: SIKICH Service code 10 · EIN 36-3168081 | Accounting | $11,600 |
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 | $25,061 | $38,365-34.7% | $84,628-70.4% | $65,185-61.6% |
| Participation rate | 23.4% | 55.7%-32.3pp | 68.2%-44.8pp | 70.2%-46.8pp |
| Annual return | 18.62% | 32.00%-13.4pp | 258.80%-240.2pp | 29.38%-10.8pp |
| Employer contribution / active EE | $131 | $1,258-89.6% | $2,653-95.1% | $2,177-94.0% |
| Participant deferral / active EE | $1,020 | $2,278-55.2% | $3,900-73.9% | $3,514-71.0% |
| Admin fee / account holder | $151 | $451-66.6% | $4,914-96.9% | $847-82.2% |