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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC2 years Service code 49 · EIN 51-0120742 | Other Services | $24,911 |
Service code 13 · EIN 42-0127290 | Contract Administrator | $450 |
Service code 27 · EIN 95-2755361 | Advisory (Plan) | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $5,138 | $102,389-95.0% | $100,528-94.9% | $90,274-94.3% |
| Participation rate | 49.6% | 84.0%-34.4pp | 79.4%-29.8pp | 73.4%-23.7pp |
| Annual return | 62.03% | 22.50%+39.5pp | 30.90%+31.1pp | 53.97%+8.1pp |
| Employer contribution / active EE | $0 | $3,056-100.0% | $3,419-100.0% | $2,523-100.0% |
| Participant deferral / active EE | $1,255 | $7,514-83.3% | $6,271-80.0% | $4,231-70.3% |
| Admin fee / account holder | $1 | $83-99.4% | $8,084-100.0% | $114-99.5% |