Filed January 13, 2017
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| Provider | Service type | Compensation |
|---|---|---|
Filed as: UBS FINANCIAL SERVICES, INC. Service code 15 · EIN 13-2638166 | Recordkeeping | $17,290 |
ADP BROKER-DEALER1 year Filed as: ADP, LLC Service code 15 · EIN 13-3036745 | Recordkeeping | $17,106 |
ADP BROKER-DEALER2+ years Service code 59 · EIN 22-3319984 | Shareholder Servicing | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $19,219 | $39,859-51.8% | $78,676-75.6% | $57,658-66.7% |
| Participation rate | 30.9% | 66.1%-35.2pp | 73.6%-42.7pp | 70.2%-39.3pp |
| Annual return | 6.97% | 18.96%-12.0pp | 62.19%-55.2pp | 5.13%+1.8pp |
| Employer contribution / active EE | $333 | $1,786-81.4% | $2,850-88.3% | $1,974-83.1% |
| Participant deferral / active EE | $910 | $2,248-59.5% | $3,517-74.1% | $3,061-70.3% |
| Admin fee / account holder | $168 | $76+120.2% | $4,510-96.3% | $95+77.5% |