Filed March 27, 2020
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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC8 years Service code 27 · EIN 13-2638166 | Advisory (Plan) | $10,250 |
Service code 13 · EIN 42-0127290 | Contract Administrator | $2,659 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Annual investment return is in the bottom quintile of the peer cohort.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $26,355 | $50,919-48.2% | $155,556-83.1% | $77,762-66.1% |
| Participation rate | 45.2% | 63.1%-17.9pp | 78.2%-33.0pp | 70.6%-25.4pp |
| Annual return | 10.08% | 34.84%-24.8pp | 64.84%-54.8pp | 31.27%-21.2pp |
| Employer contribution / active EE | $897 | $1,991-55.0% | $4,675-80.8% | $2,728-67.1% |
| Participant deferral / active EE | $1,479 | $2,824-47.6% | $5,631-73.7% | $4,651-68.2% |
| Admin fee / account holder | $20 | $437-95.5% | $15,885-99.9% | $433-95.4% |