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| Provider | Service type | Compensation |
|---|---|---|
PRINCIPAL LIFE INSURANCE COMPANY2+ years Service code 13 · EIN 42-0127290 | Contract Administrator | $333,456 |
SCHULTE ROTH & ZABEL LLP1 year Filed as: SCHULTE ROTH & ZABEL Service code 29 · EIN 13-2633996 | Legal | $72,877 |
UBS FINANCIAL SERVICES INC2+ years Filed as: UBS FINANCIAL SERVICES Service code 27 · EIN 13-2638166 | Advisory (Plan) | $50,000 |
NOVAK FRANCELLA LLC1 year Filed as: NOVAK FRANCELLA CPA Service code 10 · EIN 61-1436956 | Accounting | $23,186 |
MORNINGSTAR2+ years Filed as: MORNINGSTAR INVESTMENT MGMT LLC Service code 26 · EIN 36-2923857 | Advisory (Participants) | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant is in the bottom quintile of the peer cohort.
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 | $26,023 | $43,110-39.6% | $156,552-83.4% | $65,292-60.1% |
| Participation rate | 36.4% | 69.3%-32.9pp | 84.0%-47.6pp | 72.4%-36.0pp |
| Annual return | 8.73% | 11.24%-2.5pp | 32.23%-23.5pp | 11.84%-3.1pp |
| Employer contribution / active EE | $140 | $1,702-91.8% | $5,501-97.5% | $2,302-93.9% |
| Participant deferral / active EE | $1,003 | $2,520-60.2% | $4,871-79.4% | $3,579-72.0% |
| Admin fee / account holder | $80 | $47+69.7% | $13,028-99.4% | $57+39.7% |