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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC2+ years Filed as: UBS FINANCIAL SERVICES Service code 26 · EIN 13-2638166 1285 AVENUE OF THE AMERICAS · NEW YORK, NY 100196028 | Advisory (Participants) | $19,562 |
RPG CONSULTANTS2+ years Service code 15 · EIN 13-4077182 181 SO. FRANKLIN AVENUE · VALLEY STREAM, NY 11581 | Recordkeeping | $15,898 |
TMI CPA, P.C.2+ years Service code 10 · EIN 47-2426908 150 MOTOR PARKWAY · HAUPPAUGE, NY 11788 | Accounting | $10,323 |
LT TRUST COMPANY2+ years Filed as: MG TRUST COMPANY Service code 18 · EIN 75-3182674 717 17TH STREET · DENVER, CO 80202 | Custodial (securities); Custodial (ot... | $2,771 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
Plan reported corrective distributions (failed ADP/ACP testing).
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 | $35,390 | $44,425-20.3% | $67,834-47.8% | $55,167-35.8% |
| Participation rate | 35.4% | 59.7%-24.3pp | 68.8%-33.4pp | 69.0%-33.5pp |
| Annual return | 12.64% | 17.80%-5.2pp | 138.47%-125.8pp | 169.23%-156.6pp |
| Employer contribution / active EE | $0 | $1,351-100.0% | $2,403-100.0% | $1,963-100.0% |
| Participant deferral / active EE | $2,761 | $2,166+27.5% | $3,160-12.6% | $3,054-9.6% |
| Admin fee / account holder | $552 | $530+4.0% | $4,622-88.1% | $504+9.5% |