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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC9+ years Service code 27 · EIN 13-2638166 | Advisory (Plan) | $38,821 |
Service code 60 · EIN 04-2647786 | Sub-TA Fees | $33,874 |
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 | $138,193 | $83,090+66.3% | $130,062+6.3% | $71,529+93.2% |
| Participation rate | 70.9% | 74.1%-3.2pp | 78.5%-7.6pp | 67.9%+2.9pp |
| Annual return | 16.95% | 20.61%-3.7pp | -137.37%+154.3pp | 28.97%-12.0pp |
| Employer contribution / active EE | $0 | $2,624-100.0% | $4,322-100.0% | $2,590-100.0% |
| Participant deferral / active EE | $6,230 | $4,436+40.4% | $5,821+7.0% | $4,291+45.2% |
| Admin fee / account holder | $408 | $1,727-76.4% | $10,601-96.1% | $1,588-74.3% |