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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC2+ years Filed as: UBS FINANCIAL SERVICES, INC. Service code 16 · EIN 13-2638166 | Consulting | $104,974 |
Service code 12 · EIN 13-3689044 | Finders' fees / placement fees; Inves... | $80,336 |
MID ATLANTIC CAPITAL CORPORATION2+ years Service code 33 · EIN 25-1409618 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES2+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Assets per participant exceed $250,000 - top-decile high-value plan.
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 | $368,502 | $75,183+390.1% | $123,894+197.4% | $55,167+568.0% |
| Participation rate | 97.6% | 72.8%+24.8pp | 81.4%+16.2pp | 69.0%+28.6pp |
| Annual return | 10.22% | 19.01%-8.8pp | 47.52%-37.3pp | 169.23%-159.0pp |
| Employer contribution / active EE | $16,170 | $2,823+472.7% | $4,617+250.3% | $1,963+723.9% |
| Participant deferral / active EE | $11,316 | $5,084+122.6% | $5,984+89.1% | $3,054+270.5% |
| Admin fee / account holder | $1,144 | $663+72.7% | $8,357-86.3% | $504+127.0% |