Filed July 18, 2023
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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC4+ years Filed as: UBS FINANCIAL SERVICES Service code 27 · EIN 13-2638166 | Advisory (Plan) | $132,620 |
Filed as: ONEAMERICA RETIREMENT SERVICES LLC Service code 15 · EIN 46-5378846 | Recordkeeping | $71,722 |
Filed as: HERMANS & ASSOCIATES, CPA, S.C Service code 10 · EIN 39-1421794 | Accounting | $12,400 |
BMO HARRIS BANK NA4+ years Filed as: BMO HARRIS BANK, N.A Service code 19 · EIN 36-2085229 | Securities Custodian | $0 |
BMO HARRIS BANK NA3 years Filed as: BMO HARRIS BANK, NA Service code 19 | Securities Custodian | $0 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Annual investment return is in the bottom quintile of the peer cohort.
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 | $53,349 | $66,650-20.0% | $92,916-42.6% | $67,584-21.1% |
| Participation rate | 96.0% | 72.5%+23.5pp | 76.0%+20.0pp | 71.3%+24.7pp |
| Annual return | 5.99% | 92.64%-86.6pp | 109.45%-103.5pp | 378.59%-372.6pp |
| Employer contribution / active EE | $891 | $2,777-67.9% | $3,654-75.6% | $2,148-58.5% |
| Participant deferral / active EE | $4,172 | $3,160+32.0% | $4,238-1.6% | $3,540+17.9% |
| Admin fee / account holder | $494 | $199+148.0% | $5,796-91.5% | $142+247.0% |