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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC6+ years Filed as: UBS FINANCIAL SERVICES, INC. Service code 27 · EIN 13-2638166 1285 AVENUE OF AMERICAS · NEW YORK, NY 10019 | Advisory (Plan) | $56,887 |
Service code 37 · EIN 86-1001235 6530 N. 16TH ST · PHOENIX, AZ 85016 | Loan Processing | $18,530 |
FIDUCIARY WISE, LLC3 years Service code 26 · EIN 81-3799174 500 E. BENRICH DRIVE · GILBERT, AZ 85295 | Advisory (Participants) | $10,000 |
WALLACE PLESE & DREHER, LLP6+ years Filed as: WALLACE, PLESE DREHER, LLP Service code 10 · EIN 86-0841383 3933 S. MCCLINTOCK DRIVE · TEMPE, AZ 85282 | Accounting | $9,270 |
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.)
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $38,518 | $58,101-33.7% | $118,946-67.6% | $73,412-47.5% |
| Participation rate | 32.1% | 56.1%-24.0pp | 75.4%-43.3pp | 72.2%-40.1pp |
| Annual return | 12.49% | 20.56%-8.1pp | 35.89%-23.4pp | 59.30%-46.8pp |
| Employer contribution / active EE | $771 | $1,445-46.7% | $3,263-76.4% | $2,234-65.5% |
| Participant deferral / active EE | $0 | $2,400-100.0% | $4,266-100.0% | $3,806-100.0% |
| Admin fee / account holder | $323 | $138+134.1% | $6,581-95.1% | $158+104.8% |