Filed November 29, 2016
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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC10+ years Service code 27 · EIN 13-2638166 | Advisory (Plan) | $68,330 |
Filed as: FIDELITY WORKPLACE SERVICES, LLC Service code 14 · EIN 04-3532603 | Plan Administrator | $15,257 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $162,133 | $101,591+59.6% | $147,096+10.2% | $74,429+117.8% |
| Participation rate | 67.5% | 75.5%-8.0pp | 82.2%-14.6pp | 67.2%+0.3pp |
| Annual return | 13.63% | 8746.45%-8732.8pp | 419.75%-406.1pp | 1368.38%-1354.7pp |
| Employer contribution / active EE | $2,148 | $3,813-43.7% | $4,936-56.5% | $2,625-18.2% |
| Participant deferral / active EE | $12,665 | $7,302+73.4% | $8,071+56.9% | $4,348+191.3% |
| Admin fee / account holder | $402 | $1,750-77.0% | $13,005-96.9% | $1,944-79.3% |