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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC7+ years Service code 27 · EIN 13-2638166 | Advisory (Plan) | $46,417 |
Service code 60 · EIN 04-2647786 | Sub-TA Fees | $37,442 |
Employer contribution per participant is in the bottom quintile of the peer cohort.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $138,563 | $93,182+48.7% | $146,643-5.5% | $79,391+74.5% |
| Participation rate | 76.1% | 76.4%-0.3pp | 80.1%-4.0pp | 70.7%+5.4pp |
| Annual return | 15.29% | 21.61%-6.3pp | 22.75%-7.5pp | 116.88%-101.6pp |
| Employer contribution / active EE | $0 | $2,420-100.0% | $4,137-100.0% | $2,428-100.0% |
| Participant deferral / active EE | $5,553 | $4,169+33.2% | $5,506+0.9% | $4,046+37.2% |
| Admin fee / account holder | $453 | $585-22.5% | $10,280-95.6% | $627-27.6% |