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| Provider | Service type | Compensation |
|---|---|---|
Service code 64 · EIN 71-0294708 | Recordkeeping Fees | $35,759 |
UBS FINANCIAL SERVICES INC3 years Filed as: UBS FINANCIAL SERVICES, INC. Service code 26 · EIN 13-2638166 | Advisory (Participants) | $13,132 |
RETIREMENT SOLUTIONS SPECIALISTS4+ years Service code 49 · EIN 27-0293282 | Other Services | $0 |
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).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $5,989 | $29,569-79.7% | $56,077-89.3% | $77,714-92.3% |
| Participation rate | 77.5% | 32.6%+44.9pp | 52.5%+25.0pp | 70.6%+7.0pp |
| Annual return | 13.54% | 18.90%-5.4pp | 1709.28%-1695.7pp | 31.26%-17.7pp |
| Employer contribution / active EE | $676 | $569+18.8% | $1,040-35.1% | $2,727-75.2% |
| Participant deferral / active EE | $1,197 | $1,061+12.8% | $1,954-38.7% | $4,649-74.3% |
| Admin fee / account holder | $133 | $1,042-87.2% | $2,825-95.3% | $433-69.2% |