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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC4+ years Filed as: UBS FINANCIAL SERVICES INC. Service code 27 · EIN 13-2638166 1285 AVENUE OF THE AMERICAS · NEW YORK, NY 10019 | Advisory (Plan) | $66,194 |
Service code 12 · EIN 13-3689044 | Direct payment from the plan; Distrib... | $56,714 |
NATIONAL FINANCIAL SERVICES2 years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $123,386 | $75,388+63.7% | $123,552-0.1% | $55,725+121.4% |
| Participation rate | 75.5% | 75.7%-0.1pp | 82.3%-6.8pp | 70.9%+4.7pp |
| Annual return | -4.60% | 4.48%-9.1pp | 119.20%-123.8pp | 244.93%-249.5pp |
| Employer contribution / active EE | $1,306 | $3,063-57.4% | $4,628-71.8% | $2,078-37.2% |
| Participant deferral / active EE | $7,339 | $5,651+29.9% | $6,426+14.2% | $3,356+118.7% |
| Admin fee / account holder | $370 | $120+209.1% | $9,285-96.0% | $115+221.4% |