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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC4+ years Filed as: UBS TRUST COMPANY OF PR Service code 21 · EIN 66-0532499 9TH FLOOR AMERICAN INTERNATIONAL PL · SAN JUAN, PR 00918 | Bank Trustee | $41,673 |
Service code 15 · EIN 16-1503696 6 RHOADS DRIVE · UTICA, NY 13502 | Recordkeeping | $26,155 |
RSM US LLP2 years Filed as: RSM PUERTO RICO Service code 10 · EIN 66-0388756 PO BOX 10528 · SAN JUAN, PR 009220528 | Accounting | $14,872 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $21,120 | $47,977-56.0% | $154,108-86.3% | $56,289-62.5% |
| Participation rate | 97.5% | 66.2%+31.4pp | 83.0%+14.5pp | 69.9%+27.7pp |
| Annual return | -3.96% | 3.54%-7.5pp | 735.21%-739.2pp | -9.96%+6.0pp |
| Employer contribution / active EE | $1,423 | $2,169-34.4% | $5,298-73.1% | $2,111-32.6% |
| Participant deferral / active EE | $2,265 | $2,392-5.3% | $5,081-55.4% | $3,350-32.4% |
| Admin fee / account holder | $364 | $438-16.9% | $13,411-97.3% | $521-30.1% |