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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC1+ years Filed as: UBS FINANCIAL SERVICES, INC. Service code 15 · EIN 13-2638166 | Recordkeeping | $12,195 |
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).
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 | $22,134 | $73,102-69.7% | $123,549-82.1% | $56,287-60.7% |
| Participation rate | 67.9% | 74.3%-6.4pp | 82.3%-14.4pp | 69.9%-1.9pp |
| Annual return | -4.30% | 3.01%-7.3pp | 119.20%-123.5pp | -9.96%+5.7pp |
| Employer contribution / active EE | $2,971 | $2,977-0.2% | $4,628-35.8% | $2,111+40.7% |
| Participant deferral / active EE | $5,831 | $5,423+7.5% | $6,426-9.3% | $3,350+74.1% |
| Admin fee / account holder | $86 | $554-84.4% | $9,284-99.1% | $521-83.4% |