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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC3 years Service code 27 315 DEADERICK ST · NASHVILLE, TN 37238 | Advisory (Plan) | $24,472 |
Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $17,333 |
Filed as: ADVISED ASSETS GROUP, LLC Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Investment Management | $5,851 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $73,376 | $86,294-15.0% | $111,303-34.1% | $85,856-14.5% |
| Participation rate | 100.0% | 73.3%+26.7pp | 77.3%+22.7pp | 69.3%+30.7pp |
| Annual return | 18.13% | 19.99%-1.9pp | 54.66%-36.5pp | 318.58%-300.5pp |
| Employer contribution / active EE | $4,308 | $2,043+110.8% | $2,731+57.7% | $2,565+67.9% |
| Participant deferral / active EE | $8,939 | $3,641+145.5% | $4,487+99.2% | $3,952+126.2% |
| Admin fee / account holder | $339 | $8,189-95.9% | $7,966-95.7% | $6,261-94.6% |