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| Provider | Service type | Compensation |
|---|---|---|
Service code 37 · EIN 04-2647786 | Loan Processing | $63,823 |
UBS FINANCIAL SERVICES INC7 years Service code 27 · EIN 13-2638166 | Advisory (Plan) | $35,193 |
16 funds of $250K or more; 19 lines in all, holding $25.4M of the plan's $25.6M. From the 2025 filing. Recordkeeper: Fidelity (FMR).
Target-date series: American Funds Target Date, mutual fund, 69% of fund dollars
| Fund | Dollars | % of funds% |
|---|---|---|
| American Funds Target Date Capital Group · Mutual fund Target-date, 12 vintages | $17.5M | 69.0% |
| Fidelity 500 Index Fund Fidelity (FMR) · Mutual fund IndexRecordkeeper's own fund | $3.1M | 12.3% |
| Retirement Fund R6 MFS Investment Management MFS Growth Fund R6 MFS (Sun Life) · Mutual fund | $1.6M | 6.3% |
| Fidelity Total International Index Fund Fidelity (FMR) · Mutual fund IndexRecordkeeper's own fund | $532K | 2.1% |
| Fidelity Small Cap Index Fund Fidelity (FMR) · Mutual fund IndexRecordkeeper's own fund | $410K | 1.6% |
| Fidelity Mid Cap Index Fund Fidelity (FMR) · Mutual fund IndexRecordkeeper's own fund | $384K | 1.5% |
| Janus Henderson Enterprise Fund Class N Janus Henderson · Mutual fund | $377K | 1.5% |
| Putnam Stable Value Fund Franklin Templeton · Stable value Stable value | $340K | 1.3% |
| JPMorgan Equity Income Fund Class R6 JPMorgan · Mutual fund | $279K | 1.1% |
| Fidelity U.S. Bond Index Fund Fidelity (FMR) · Mutual fund IndexRecordkeeper's own fund | $241K | 0.9% |
Added 5 funds, dropped 1 fund, likely replaced 1 fund. Moved to another target-date series.
| Fund | Year-end value |
|---|---|
| Target-date switchPrincipal LifeTime 2050 Trust to American Funds Target Date 2045 Fund | $12.5M to $17.5M |
| AddedFidelity 500 Index Fund | $3.1M |
| ReplacedHighCommon/Collective Trust Principal G to Janus Henderson Enterprise Fund Class N | $1.9M to $377K |
Stable value and insurance contract lines, renames and class changes are not counted. Left out here: 1 stable value or insurance line, 1 rename.
Changes of at least $250K and 0.1% of the plan between the 2024 and 2025 filings. Values are year-end holdings, not money moved.
Covers 71,410 large plans that list their funds in their annual filing. Updated Nov 6, 2026. Shares describe these plans, not the whole market.
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
The auditor signed off without reservation. This is the cleanest opinion.