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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC4+ years Filed as: UBS FINANCIAL SERVICES Service code 27 · EIN 13-2638166 1000 HARBOUR BLVD · WEEHAUKEN, NJ 07087 | Advisory (Plan) | $14,638 |
ASCENSUS LLC2 years Filed as: ASCENSUS Service code 13 · EIN 11-3665754 | Contract Administrator | $5,286 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $63,039 | $38,365+64.3% | $84,628-25.5% | $65,185-3.3% |
| Participation rate | 32.9% | 55.7%-22.7pp | 68.2%-35.3pp | 70.2%-37.3pp |
| Annual return | -5.04% | 32.00%-37.0pp | 258.80%-263.8pp | 29.38%-34.4pp |
| Employer contribution / active EE | $597 | $1,258-52.6% | $2,653-77.5% | $2,177-72.6% |
| Participant deferral / active EE | $1,413 | $2,278-38.0% | $3,900-63.8% | $3,514-59.8% |
| Admin fee / account holder | $321 | $451-29.0% | $4,914-93.5% | $847-62.2% |