Filed February 22, 2018
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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC3 years Filed as: UBS FINANCIAL SERVICES INC. Service code 99 | Other Fees | $55,867 |
UBS FINANCIAL SERVICES INC6+ years Service code 26 · EIN 13-2638166 | Advisory (Participants) | $0 |
Plan reported corrective distributions (failed ADP/ACP testing).
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 | $50,750 | $100,801-49.7% | $149,715-66.1% | $73,412-30.9% |
| Participation rate | 97.2% | 77.7%+19.6pp | 82.5%+14.8pp | 72.2%+25.1pp |
| Annual return | 27.23% | 265.34%-238.1pp | 276.66%-249.4pp | 59.30%-32.1pp |
| Employer contribution / active EE | $3,984 | $3,312+20.3% | $4,645-14.2% | $2,234+78.4% |
| Participant deferral / active EE | $8,135 | $6,404+27.0% | $6,842+18.9% | $3,806+113.8% |
| Admin fee / account holder | $219 | $181+21.3% | $9,310-97.6% | $158+38.9% |