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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC6+ years Filed as: UBS FINANCIAL SERVICES, INC. Service code 16 · EIN 13-2638166 | Consulting | $19,062 |
Filed as: TRANSAMERICA LIFE INSURANCE COMPANY Service code 15 · EIN 39-0989781 | Recordkeeping | $16,733 |
SIKICH LLP6+ years Filed as: SIKICH Service code 10 · EIN 36-3168081 | Accounting | $9,600 |
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 signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $31,528 | $43,133-26.9% | $89,435-64.7% | $73,497-57.1% |
| Participation rate | 26.5% | 55.0%-28.5pp | 68.0%-41.5pp | 70.7%-44.2pp |
| Annual return | 21.97% | 135.66%-113.7pp | 245.55%-223.6pp | 28.51%-6.5pp |
| Employer contribution / active EE | $162 | $1,438-88.7% | $2,587-93.7% | $2,270-92.9% |
| Participant deferral / active EE | $1,338 | $2,445-45.3% | $3,890-65.6% | $3,740-64.2% |
| Admin fee / account holder | $150 | $444-66.1% | $4,884-96.9% | $513-70.7% |