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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC4 years Service code 27 · EIN 13-2638166 | Advisory (Plan) | $12,167 |
Service code 13 · EIN 42-0127290 | Contract Administrator | $3,186 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant 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 | $42,293 | $49,138-13.9% | $84,020-49.7% | $65,185-35.1% |
| Participation rate | 58.2% | 60.7%-2.5pp | 69.0%-10.8pp | 70.2%-12.0pp |
| Annual return | 35.99% | 23.00%+13.0pp | 71.31%-35.3pp | 29.38%+6.6pp |
| Employer contribution / active EE | $0 | $914-100.0% | $1,984-100.0% | $2,177-100.0% |
| Participant deferral / active EE | $2,150 | $2,397-10.3% | $3,239-33.6% | $3,514-38.8% |
| Admin fee / account holder | $119 | $543-78.1% | $6,101-98.0% | $847-85.9% |