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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC7+ years Filed as: UBS FINANCIAL SERVICES, INC. Service code 27 · EIN 13-2638166 | Advisory (Plan) | $153,756 |
Service code 12 · EIN 13-3689044 | Recordkeeping fees; Participant commu... | $50,219 |
MID ATLANTIC CAPITAL CORPORATION7+ years Service code 33 · EIN 25-1409618 | Securities brokerage; Securities brok... | $0 |
NATIONAL FINANCIAL SERVICES7+ 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.
The auditor signed off without reservation. This is the cleanest opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $754,162 | $104,475+621.9% | $159,436+373.0% | $79,386+850.0% |
| Participation rate | 96.4% | 76.6%+19.8pp | 82.8%+13.6pp | 70.7%+25.7pp |
| Annual return | 15.55% | 67.95%-52.4pp | 263.57%-248.0pp | 116.85%-101.3pp |
| Employer contribution / active EE | $18,659 | $3,417+446.1% | $4,829+286.4% | $2,427+668.7% |
| Participant deferral / active EE | $12,865 | $6,467+98.9% | $7,352+75.0% | $4,046+218.0% |
| Admin fee / account holder | $1,172 | $711+64.8% | $10,799-89.1% | $626+87.1% |