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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC7+ years Filed as: UBS FINANCIAL SERVICES, INC. Service code 16 · EIN 13-2638166 | Consulting | $23,963 |
Filed as: TRANSAMERICA LIFE INSURANCE COMPANY Service code 15 · EIN 39-0989781 | Recordkeeping | $14,230 |
SIKICH LLP7+ years Filed as: SIKICH Service code 10 · EIN 36-3168081 | Accounting | $9,900 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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 signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $34,695 | $79,694-56.5% | $96,161-63.9% | $79,393-56.3% |
| Participation rate | 25.2% | 54.0%-28.8pp | 68.4%-43.3pp | 70.7%-45.5pp |
| Annual return | 9.59% | 40.84%-31.3pp | 192.01%-182.4pp | 116.87%-107.3pp |
| Employer contribution / active EE | $529 | $1,443-63.3% | $2,798-81.1% | $2,428-78.2% |
| Participant deferral / active EE | $1,557 | $2,539-38.7% | $4,349-64.2% | $4,046-61.5% |
| Admin fee / account holder | $167 | $630-73.5% | $5,538-97.0% | $627-73.3% |