Filed December 27, 2019
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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC3+ years Filed as: UBS FINANCIAL SERVICES Service code 27 681 EAST LAKE ST. SUITE 354 · WAYZATA, MN 58863 | Advisory (Plan) | $47,194 |
NEWPORT GROUP, INC.2+ years Service code 15 · EIN 27-2037969 | Recordkeeping | $14,872 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
The auditor declined to give an opinion. This is usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $85,217 | $71,192+19.7% | $117,854-27.7% | $62,292+36.8% |
| Participation rate | 83.8% | 74.2%+9.6pp | 79.7%+4.2pp | 69.5%+14.3pp |
| Annual return | 18.41% | 18.66%-0.2pp | 335.08%-316.7pp | 28.90%-10.5pp |
| Employer contribution / active EE | $4,649 | $1,934+140.4% | $3,786+22.8% | $2,042+127.6% |
| Participant deferral / active EE | $7,186 | $3,189+125.3% | $4,482+60.3% | $3,169+126.7% |
| Admin fee / account holder | $493 | $587-16.1% | $8,020-93.9% | $479+2.8% |