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| Provider | Service type | Compensation |
|---|---|---|
ADP BROKER-DEALER3 years Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $30,183 |
UBS FINANCIAL SERVICES INC3 years Filed as: UBS FINANCIAL SERVICES, INC. Service code 15 · EIN 13-2638166 | Recordkeeping | $25,788 |
ADP BROKER-DEALER3 years Service code 59 · EIN 22-3319984 | Shareholder Servicing | $0 |
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.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $80,979 | $122,042-33.6% | $184,243-56.0% | $74,429+8.8% |
| Participation rate | 67.9% | 85.5%-17.6pp | 86.8%-19.0pp | 67.2%+0.6pp |
| Annual return | 15.79% | 19.91%-4.1pp | 28.82%-13.0pp | 1368.38%-1352.6pp |
| Employer contribution / active EE | $3,220 | $4,538-29.0% | $6,427-49.9% | $2,625+22.7% |
| Participant deferral / active EE | $7,071 | $7,143-1.0% | $9,132-22.6% | $4,348+62.6% |
| Admin fee / account holder | $580 | $1,252-53.7% | $13,914-95.8% | $1,944-70.2% |