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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC3+ years Filed as: UBS FINANCIAL SERVICES Service code 28 3280 PEACHTREE ROAD, NE · ATLANTA, GA 30326 | Investment Management | $64,977 |
Filed as: ONEAMERICA RETIREMENT SERVICES LLC Service code 15 · EIN 46-5378846 | Recordkeeping | $59,058 |
BDO USA, LLP2 years Filed as: BDO USA LLP Service code 10 · EIN 13-5381590 | Accounting | $18,811 |
BMO HARRIS BANK NA2 years Filed as: BMO HARRIS BANK, NA Service code 19 · EIN 36-2085229 | Securities Custodian | $0 |
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).
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 | $110,062 | $64,909+69.6% | $82,312+33.7% | $62,293+76.7% |
| Participation rate | 98.1% | 74.9%+23.2pp | 76.9%+21.2pp | 69.5%+28.5pp |
| Annual return | 7.75% | 21.18%-13.4pp | 25.88%-18.1pp | 28.90%-21.2pp |
| Employer contribution / active EE | $851 | $1,676-49.2% | $2,428-64.9% | $2,042-58.3% |
| Participant deferral / active EE | $4,994 | $3,103+60.9% | $3,706+34.8% | $3,169+57.6% |
| Admin fee / account holder | $499 | $440+13.6% | $5,608-91.1% | $479+4.2% |