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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC5 years Service code 27 · EIN 13-2638166 | Advisory (Plan) | $58,818 |
Service code 60 · EIN 04-2647786 | Sub-TA Fees | $33,448 |
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.
Annual investment return 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 signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $38,276 | $82,979-53.9% | $102,412-62.6% | $77,736-50.8% |
| Participation rate | 62.2% | 71.5%-9.3pp | 74.5%-12.3pp | 70.6%-8.4pp |
| Annual return | 10.00% | 19.11%-9.1pp | 24.94%-14.9pp | 31.26%-21.3pp |
| Employer contribution / active EE | $537 | $3,554-84.9% | $3,870-86.1% | $2,728-80.3% |
| Participant deferral / active EE | $2,508 | $4,109-39.0% | $5,060-50.4% | $4,651-46.1% |
| Admin fee / account holder | $144 | $639-77.4% | $8,388-98.3% | $433-66.7% |