Filed February 13, 2017 (most recent of 2 filings on file)
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| Provider | Service type | Compensation |
|---|---|---|
Service code 49 · EIN 04-1590850 | Other Services | $139,858 |
UBS FINANCIAL SERVICES INC4+ years Filed as: UBS FINANCIAL SERVICES INS AGENCY I Service code 53 · EIN 51-0120742 | Insurance Commissions | $38,100 |
Filed as: UBS FINANCIAL SERVICES INC. Service code 70 · EIN 13-2638166 | Consulting Fees | $6,927 |
ALGER2 years Service code 52 · EIN 13-2665689 | Indirect Investment Fees | $0 |
ARTISAN PARTNERS2 years Filed as: ARTISAN Service code 52 · EIN 39-1811840 | Indirect Investment Fees | $0 |
DELAWARE INVESTMENTS2 years Service code 52 · EIN 23-2651520 | Indirect Investment Fees | $0 |
Service code 27 · EIN 61-1732930 | Advisory (Plan) | $0 |
FRANKLIN TEMPLETON1 year Service code 52 · EIN 13-3151768 | Indirect Investment Fees | $0 |
NATIXIS FUNDS2 years Service code 52 · EIN 52-2257782 | Indirect Investment Fees | $0 |
OPPENHEIMER2 years Service code 52 · EIN 93-1036175 | Indirect Investment Fees | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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 | $29,802 | $45,382-34.3% | $154,114-80.7% | $75,289-60.4% |
| Participation rate | 56.4% | 65.9%-9.5pp | 83.0%-26.6pp | 72.4%-16.0pp |
| Annual return | -6.68% | -0.47%-6.2pp | 735.16%-741.8pp | -0.04%-6.6pp |
| Employer contribution / active EE | $1,075 | $1,533-29.9% | $5,298-79.7% | $2,405-55.3% |
| Participant deferral / active EE | $2,833 | $2,384+18.8% | $5,081-44.2% | $3,739-24.2% |
| Admin fee / account holder | $201 | $89+125.3% | $13,411-98.5% | $102+96.7% |