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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 48-1205033 | Recordkeeping fees; Float revenue; Pa... | $109,357 |
UBS FINANCIAL SERVICES INC4+ years Filed as: UBS FINANCIAL SERVICES, INC. Service code 27 · EIN 13-2638166 | Advisory (Plan) | $21,399 |
Participant contribution per participant is in the bottom quintile of the peer cohort.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Plan reported corrective distributions (failed ADP/ACP testing).
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
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 | $19,250 | $66,302-71.0% | $110,243-82.5% | $56,289-65.8% |
| Participation rate | 89.3% | 74.9%+14.4pp | 79.8%+9.5pp | 69.9%+19.5pp |
| Annual return | -2.13% | -1.18%-1.0pp | 314.76%-316.9pp | -9.96%+7.8pp |
| Employer contribution / active EE | $584 | $2,047-71.5% | $3,827-84.7% | $2,111-72.4% |
| Participant deferral / active EE | $1,390 | $3,381-58.9% | $4,672-70.2% | $3,350-58.5% |
| Admin fee / account holder | $148 | $698-78.8% | $8,548-98.3% | $521-71.5% |