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| Provider | Service type | Compensation |
|---|---|---|
Filed as: UBS FINANCIAL SERVICES, INC. Service code 15 · EIN 13-2638166 | Recordkeeping | $3,715 |
ADP BROKER-DEALER5 years Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $3,533 |
ADP BROKER-DEALER6+ years Service code 59 · EIN 22-3319984 | Shareholder Servicing | $0 |
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.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $14,508 | $55,437-73.8% | $155,534-90.7% | $74,459-80.5% |
| Participation rate | 35.4% | 61.9%-26.5pp | 78.2%-42.8pp | 67.2%-31.8pp |
| Annual return | 10.12% | 269.58%-259.5pp | 64.92%-54.8pp | 1369.70%-1359.6pp |
| Employer contribution / active EE | $353 | $2,266-84.4% | $4,675-92.5% | $2,626-86.6% |
| Participant deferral / active EE | $1,638 | $2,837-42.3% | $5,630-70.9% | $4,350-62.3% |
| Admin fee / account holder | $58 | $1,742-96.6% | $15,900-99.6% | $1,945-97.0% |