Filed July 2, 2018 (most recent of 4 filings on file)
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Distribution (12b-1) fees; Participan... | $410,859 |
UBS FINANCIAL SERVICES INC5 years Filed as: UBS FINANCIALS SERVICES Service code 16 · EIN 13-2638166 | Consulting | $81,324 |
NATIONAL FINANCIAL SERVICES5 years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
The auditor signed off without reservation. This is the cleanest opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $16,665 | $106,520-84.4% | $142,863-88.3% | $106,520-84.4% |
| Participation rate | 99.7% | 71.3%+28.4pp | 71.9%+27.7pp | 71.3%+28.4pp |
| Annual return | 15.59% | 19.28%-3.7pp | 5637.54%-5622.0pp | 19.28%-3.7pp |
| Employer contribution / active EE | $747 | $2,840-73.7% | $4,144-82.0% | $2,840-73.7% |
| Participant deferral / active EE | $3,474 | $4,948-29.8% | $3,837-9.5% | $4,948-29.8% |
| Admin fee / account holder | $32 | $75-56.4% | $6,560-99.5% | $75-56.4% |