Filed November 29, 2016
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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC3+ years Service code 55 · EIN 13-2638166 | Other Commissions | $34,001 |
Service code 25 · EIN 04-2647786 | Directed Trustee | $6,693 |
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.
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 | $88,381 | $80,753+9.4% | $136,298-35.2% | $62,293+41.9% |
| Participation rate | 64.0% | 73.5%-9.6pp | 81.9%-17.9pp | 69.5%-5.5pp |
| Annual return | 26.33% | 35.83%-9.5pp | 5156.27%-5129.9pp | 28.90%-2.6pp |
| Employer contribution / active EE | $499 | $2,884-82.7% | $4,696-89.4% | $2,042-75.6% |
| Participant deferral / active EE | $7,166 | $5,164+38.8% | $6,247+14.7% | $3,169+126.1% |
| Admin fee / account holder | $27 | $525-94.8% | $9,244-99.7% | $479-94.3% |