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| Provider | Service type | Compensation |
|---|---|---|
Filed as: THE PRUDENTIAL INSURANCE COMPANY OF Service code 13 · EIN 22-1211670 | Contract Administrator | $77,915 |
UBS FINANCIAL SERVICES INC4+ years Filed as: UBS FINANCIAL SERVICES INC. IS BILL Service code 27 · EIN 13-2638166 | Advisory (Plan) | $25,185 |
Filed as: BENESCH FRIEDLANDER COPLAN & ARONOF Service code 27 · EIN 34-6596918 | Advisory (Plan) | $20,000 |
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.)
Annual investment return is in the bottom quintile of the peer cohort.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $122,779 | $72,486+69.4% | $87,103+41.0% | $72,976+68.2% |
| Participation rate | 68.8% | 72.8%-4.1pp | 76.9%-8.1pp | 69.5%-0.7pp |
| Annual return | 13.12% | 24.46%-11.3pp | 28.19%-15.1pp | 81.02%-67.9pp |
| Employer contribution / active EE | $1,141 | $1,894-39.7% | $2,521-54.7% | $2,440-53.2% |
| Participant deferral / active EE | $3,705 | $3,270+13.3% | $4,049-8.5% | $3,608+2.7% |
| Admin fee / account holder | $879 | $5,055-82.6% | $7,491-88.3% | $5,124-82.9% |