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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC1+ years Service code 55 · EIN 13-2638166 | Other Commissions | $4,178 |
Service code 37 · EIN 04-2647786 | Loan Processing | $1,031 |
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.
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).
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 | $12,492 | $33,745-63.0% | $64,105-80.5% | $55,191-77.4% |
| Participation rate | 33.9% | 59.4%-25.4pp | 68.2%-34.2pp | 69.2%-35.2pp |
| Annual return | -2.52% | 4.95%-7.5pp | 791.24%-793.8pp | 10.78%-13.3pp |
| Employer contribution / active EE | $165 | $641-74.2% | $1,820-90.9% | $1,899-91.3% |
| Participant deferral / active EE | $1,066 | $1,929-44.8% | $2,822-62.2% | $3,046-65.0% |
| Admin fee / account holder | $9 | $94-90.8% | $4,499-99.8% | $91-90.5% |