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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC5+ years Filed as: UBS FINANCIAL SERVICES, INC. Service code 27 · EIN 13-2638166 | Advisory (Plan) | $130,950 |
Service code 12 · EIN 13-3689044 | Direct payment from the plan; Investm... | $30,899 |
MID ATLANTIC CAPITAL CORPORATION5+ years Service code 33 · EIN 25-1409618 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES5+ 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.)
Plan reported corrective distributions (failed ADP/ACP testing).
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 | $591,969 | $89,652+560.3% | $141,197+319.3% | $65,186+808.1% |
| Participation rate | 93.9% | 74.7%+19.2pp | 82.5%+11.5pp | 70.2%+23.7pp |
| Annual return | 21.46% | 32.79%-11.3pp | 71.41%-49.9pp | 29.39%-7.9pp |
| Employer contribution / active EE | $17,288 | $3,065+464.1% | $4,736+265.0% | $2,177+694.2% |
| Participant deferral / active EE | $11,983 | $5,691+110.5% | $6,710+78.6% | $3,514+241.0% |
| Admin fee / account holder | $1,031 | $569+81.3% | $10,265-90.0% | $847+21.7% |