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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC2+ years Filed as: UBS FINANCIAL SERVICES, INC. Service code 27 200 SOUTH ORANGE AVENUE · ORLANDO, FL 32801 | Advisory (Plan) | $80,000 |
Filed as: JOHN HANCOCK RETIREMENT PLAN SRVCS Service code 15 · EIN 01-0233346 | Recordkeeping | $32,364 |
WINDHAM BRANNON1 year Filed as: WINDHAM BRANNON P.C. Service code 10 · EIN 58-1763439 | Accounting | $13,500 |
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.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
Assets per participant exceed $250,000 - top-decile high-value plan.
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 | $279,521 | $80,177+248.6% | $123,894+125.6% | $57,661+384.8% |
| Participation rate | 98.6% | 74.4%+24.2pp | 81.4%+17.2pp | 70.2%+28.4pp |
| Annual return | 2.43% | 17.90%-15.5pp | 47.52%-45.1pp | 5.13%-2.7pp |
| Employer contribution / active EE | $14,462 | $2,913+396.5% | $4,617+213.3% | $1,974+632.7% |
| Participant deferral / active EE | $7,339 | $5,130+43.1% | $5,984+22.6% | $3,061+139.8% |
| Admin fee / account holder | $302 | $106+184.5% | $8,357-96.4% | $95+219.9% |