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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC3+ years Service code 27 · EIN 13-2638166 | Advisory (Plan) | $8,747 |
Service code 37 · EIN 04-2647786 | Loan Processing | $4,661 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant is in the bottom quintile of the peer cohort.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
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 | $42,266 | $85,766-50.7% | $136,297-69.0% | $70,131-39.7% |
| Participation rate | 66.2% | 74.2%-7.9pp | 81.9%-15.7pp | 69.5%-3.3pp |
| Annual return | 19.59% | 31.45%-11.9pp | 5156.16%-5136.6pp | 73.14%-53.6pp |
| Employer contribution / active EE | $0 | $2,966-100.0% | $4,696-100.0% | $2,342-100.0% |
| Participant deferral / active EE | $4,759 | $5,051-5.8% | $6,247-23.8% | $3,332+42.8% |
| Admin fee / account holder | $118 | $5,420-97.8% | $9,244-98.7% | $4,645-97.5% |