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| Provider | Service type | Compensation |
|---|---|---|
Filed as: UBS FINANCIAL SERVICES INC. Service code 99 · EIN 13-2638166 | Other Fees | $10,464 |
Service code 49 · EIN 27-0293282 | Other Services | $5,804 |
Filed as: VOYA RETIREMENT INSURANCE AND ANNUT Service code 26 · EIN 71-0294708 | Advisory (Participants) | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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).
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $18,410 | $50,956-63.9% | $96,572-80.9% | $86,821-78.8% |
| Participation rate | 31.0% | 65.2%-34.2pp | 69.8%-38.8pp | 72.3%-41.3pp |
| Annual return | 30.20% | 21.27%+8.9pp | 37.79%-7.6pp | 97.94%-67.7pp |
| Employer contribution / active EE | $338 | $1,111-69.5% | $2,357-85.6% | $2,406-85.9% |
| Participant deferral / active EE | $2,430 | $2,954-17.7% | $3,850-36.9% | $4,132-41.2% |
| Admin fee / account holder | $26 | $166-84.1% | $6,183-99.6% | $170-84.4% |