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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC3+ years Filed as: UBS FINANCIAL SERVICES Service code 26 · EIN 13-2638166 1285 AVENUE OF THE AMERICAS · NEW YORK, NY 100196028 | Advisory (Participants) | $23,776 |
RPG CONSULTANTS3+ years Service code 15 · EIN 13-4077182 181 SO. FRANKLIN AVENUE · VALLEY STREAM, NY 11581 | Recordkeeping | $20,514 |
TMI CPA, P.C.3+ years Service code 10 · EIN 47-2426908 150 MOTOR PARKWAY · HAUPPAUGE, NY 11788 | Accounting | $10,750 |
LT TRUST COMPANY3+ years Filed as: MG TRUST COMPANY Service code 18 · EIN 75-3182674 717 17TH STREET · DENVER, CO 80202 | Custodial (securities); Custodial (ot... | $3,242 |
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.)
Annual investment return is in the bottom quintile of the peer cohort.
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 | $42,250 | $46,297-8.7% | $71,671-41.0% | $62,293-32.2% |
| Participation rate | 40.8% | 60.6%-19.9pp | 68.7%-28.0pp | 69.5%-28.7pp |
| Annual return | 9.61% | 22.32%-12.7pp | 20.65%-11.0pp | 28.90%-19.3pp |
| Employer contribution / active EE | $981 | $1,412-30.5% | $2,460-60.1% | $2,042-52.0% |
| Participant deferral / active EE | $4,045 | $2,235+81.0% | $3,438+17.6% | $3,169+27.6% |
| Admin fee / account holder | $670 | $461+45.4% | $5,558-87.9% | $479+39.8% |