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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC3+ years Filed as: UBS FINANCIAL SERVICES, INC. Service code 27 · EIN 13-2638166 1285 AVENUE OF AMERICAS · NEW YORK, NY 10019 | Advisory (Plan) | $65,856 |
Service code 37 · EIN 86-1001235 6530 N. 16TH ST · PHOENIX, AZ 85016 | Loan Processing | $16,203 |
FIDUCIARY DOCTORS, LLC3+ years Service code 26 · EIN 45-1427680 500 E. BENRICH DRIVE · GILBERT, AZ 85295 | Advisory (Participants) | $10,000 |
WALLACE PLESE & DREHER, LLP3+ years Filed as: WALLACE, PLESE DREHER, LLP Service code 10 · EIN 86-0841383 3933 S. MCCLINTOCK DRIVE · TEMPE, AZ 85282 | Accounting | $8,500 |
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.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $39,205 | $54,390-27.9% | $117,039-66.5% | $69,631-43.7% |
| Participation rate | 39.4% | 58.5%-19.2pp | 77.2%-37.8pp | 70.7%-31.3pp |
| Annual return | 13.14% | 18.33%-5.2pp | 18.95%-5.8pp | 27571.02%-27557.9pp |
| Employer contribution / active EE | $1,392 | $1,357+2.6% | $3,785-63.2% | $2,032-31.5% |
| Participant deferral / active EE | $0 | $2,076-100.0% | $3,929-100.0% | $3,224-100.0% |
| Admin fee / account holder | $325 | $98+232.1% | $5,974-94.6% | $110+194.0% |