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| Provider | Service type | Compensation |
|---|---|---|
WELLS FARGO BANK, N.A.1 year Filed as: WELLS FARGO ADVISORS Service code 26 · EIN 34-1542819 | Advisory (Participants) | $22,628 |
ASCENSUS LLC3 years Filed as: ASCENSUS Service code 13 · EIN 11-3665754 | Contract Administrator | $10,282 |
UBS FINANCIAL SERVICES INC3 years Filed as: UBS FINANCIAL SERVICES, INC. Service code 26 · EIN 26-2235829 | Advisory (Participants) | $3,970 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Annual investment return is in the bottom quintile of the peer cohort.
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
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 | $51,633 | $62,267-17.1% | $110,243-53.2% | $55,725-7.3% |
| Participation rate | 18.9% | 78.1%-59.2pp | 79.8%-60.9pp | 70.9%-51.9pp |
| Annual return | -6.60% | -1.07%-5.5pp | 314.76%-321.4pp | 244.93%-251.5pp |
| Employer contribution / active EE | $676 | $1,941-65.2% | $3,827-82.3% | $2,078-67.5% |
| Participant deferral / active EE | $1,212 | $3,516-65.5% | $4,672-74.1% | $3,356-63.9% |
| Admin fee / account holder | $340 | $121+181.4% | $8,548-96.0% | $115+195.4% |