Filed July 3, 2017
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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC1+ years Filed as: UBS FINANCIAL SERVICES, INC. Service code 27 · EIN 13-2638166 | Advisory (Plan) | $26,352 |
Service code 52 · EIN 04-1590850 | Indirect Investment Fees | $8,442 |
Annual investment return is in the bottom quintile of the peer cohort.
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 | $39,823 | $88,324-54.9% | $115,038-65.4% | $55,191-27.8% |
| Participation rate | 81.5% | 72.5%+9.0pp | 81.4%+0.2pp | 69.2%+12.4pp |
| Annual return | -1.00% | 6.30%-7.3pp | 26.14%-27.1pp | 10.78%-11.8pp |
| Employer contribution / active EE | $1,047 | $2,805-62.7% | $4,608-77.3% | $1,899-44.9% |
| Participant deferral / active EE | $3,811 | $5,042-24.4% | $6,026-36.8% | $3,046+25.1% |
| Admin fee / account holder | $33 | $105-68.7% | $8,175-99.6% | $91-63.7% |