Filed December 4, 2023
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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC2 years Service code 27 · EIN 13-2638166 | Advisory (Plan) | $34,437 |
Service code 13 · EIN 42-0127290 | Contract Administrator | $22,670 |
MORNINGSTAR3 years Filed as: MORNINGSTAR INVESTMENT MANAGEMENT L Service code 26 · EIN 36-4317381 | Advisory (Participants) | $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).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $102,790 | $88,203+16.5% | $165,100-37.7% | $74,478+38.0% |
| Participation rate | 93.2% | 73.1%+20.0pp | 78.6%+14.5pp | 67.2%+25.9pp |
| Annual return | 13.50% | 17.13%-3.6pp | 70.21%-56.7pp | 1370.56%-1357.1pp |
| Employer contribution / active EE | $809 | $2,601-68.9% | $4,348-81.4% | $2,626-69.2% |
| Participant deferral / active EE | $3,818 | $4,505-15.2% | $6,035-36.7% | $4,350-12.2% |
| Admin fee / account holder | $348 | $2,235-84.4% | $12,696-97.3% | $1,946-82.1% |