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| Provider | Service type | Compensation |
|---|---|---|
Service code 15 · EIN 91-0988389 | Recordkeeping | $0 |
Filed as: UBS FINANCIAL SERVICES, INC. Service code 27 · EIN 13-2638166 | Advisory (Plan) | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
Plan reported corrective distributions (failed ADP/ACP testing).
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 | $17,502 | $60,165-70.9% | $74,184-76.4% | $55,167-68.3% |
| Participation rate | 58.8% | 74.2%-15.4pp | 76.6%-17.9pp | 69.0%-10.2pp |
| Annual return | 9.01% | 10.00%-1.0pp | 17.74%-8.7pp | 169.23%-160.2pp |
| Employer contribution / active EE | $635 | $1,600-60.3% | $2,370-73.2% | $1,963-67.6% |
| Participant deferral / active EE | $1,616 | $2,973-45.6% | $3,550-54.5% | $3,054-47.1% |
| Admin fee / account holder | $24 | $419-94.4% | $5,586-99.6% | $504-95.3% |