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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC3+ years Filed as: UBS FINANCIAL SERVICES, INC. Service code 16 · EIN 13-2638166 | Consulting | $128,075 |
Service code 12 · EIN 13-3689044 | Investment management; Distribution (... | $91,477 |
MID ATLANTIC CAPITAL CORPORATION3+ years Service code 33 · EIN 25-1409618 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES3+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $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 | $435,725 | $80,753+439.6% | $136,298+219.7% | $62,293+599.5% |
| Participation rate | 100.0% | 73.5%+26.5pp | 81.9%+18.1pp | 69.5%+30.5pp |
| Annual return | 19.79% | 35.83%-16.0pp | 5156.27%-5136.5pp | 28.90%-9.1pp |
| Employer contribution / active EE | $16,330 | $2,884+466.3% | $4,696+247.8% | $2,042+699.6% |
| Participant deferral / active EE | $11,360 | $5,164+120.0% | $6,247+81.8% | $3,169+258.5% |
| Admin fee / account holder | $1,307 | $525+148.7% | $9,244-85.9% | $479+172.6% |