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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC1+ years Filed as: UBS Service code 27 · EIN 13-2638166 | Advisory (Plan) | $38,188 |
RETIREMENT HORIZONS INC.1+ years Service code 15 · EIN 76-0551734 | Recordkeeping | $13,358 |
HAM, LANGSTON & BREZINA, LLP1+ years Filed as: HAM, LANGSTON & BREZINA, L.L.P. Service code 10 · EIN 76-0448495 | Accounting | $10,527 |
TD AMERITRADE, INC.1+ years Filed as: TD AMERITRADE Service code 21 · EIN 84-0519832 | Bank Trustee | $155 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Annual investment return is in the bottom quintile of the peer cohort.
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 | $44,365 | $37,044+19.8% | $71,796-38.2% | $57,658-23.1% |
| Participation rate | 46.2% | 61.1%-14.9pp | 69.1%-22.9pp | 70.2%-24.0pp |
| Annual return | 4.20% | 12.64%-8.4pp | 78.04%-73.8pp | 5.13%-0.9pp |
| Employer contribution / active EE | $162 | $720-77.5% | $1,924-91.6% | $1,974-91.8% |
| Participant deferral / active EE | $996 | $1,974-49.6% | $2,794-64.4% | $3,061-67.5% |
| Admin fee / account holder | $321 | $101+218.4% | $4,815-93.3% | $95+240.0% |