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 | $88,137+16.6% | $164,975-37.7% | $74,429+38.1% |
| Participation rate | 93.2% | 73.1%+20.0pp | 78.6%+14.6pp | 67.2%+26.0pp |
| Annual return | 13.50% | 17.13%-3.6pp | 70.12%-56.6pp | 1368.38%-1354.9pp |
| Employer contribution / active EE | $809 | $2,597-68.8% | $4,343-81.4% | $2,625-69.2% |
| Participant deferral / active EE | $3,818 | $4,501-15.2% | $6,033-36.7% | $4,348-12.2% |
| Admin fee / account holder | $348 | $2,231-84.4% | $12,688-97.3% | $1,944-82.1% |