Filed December 17, 2018
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| Provider | Service type | Compensation |
|---|---|---|
Filed as: UBS FINANCIAL SERVICES Service code 27 · EIN 13-2638166 | Advisory (Plan) | $90,454 |
Service code 37 · EIN 04-2647786 | Loan Processing | $13,552 |
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 | $45,696 | $46,173-1.0% | $170,435-73.2% | $69,631-34.4% |
| Participation rate | 94.6% | 63.9%+30.7pp | 83.6%+11.0pp | 70.7%+23.9pp |
| Annual return | 18.58% | 21.62%-3.0pp | 205.94%-187.4pp | 27571.02%-27552.4pp |
| Employer contribution / active EE | $2,649 | $1,610+64.5% | $5,432-51.2% | $2,032+30.3% |
| Participant deferral / active EE | $2,946 | $2,080+41.6% | $4,939-40.4% | $3,224-8.6% |
| Admin fee / account holder | $91 | $116-21.7% | $13,881-99.3% | $110-17.7% |