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| Provider | Service type | Compensation |
|---|---|---|
RBC WEALTH MANAGEMENT1 year Service code 27 · EIN 41-1416330 | Advisory (Plan) | $19,996 |
ASCENSUS LLC3 years Service code 15 · EIN 11-3665754 | Recordkeeping | $10,510 |
UBS FINANCIAL SERVICES INC2 years Filed as: UBS FINANCIAL Service code 27 · EIN 26-2235829 | Advisory (Plan) | $6,954 |
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.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $142,556 | $54,573+161.2% | $90,970+56.7% | $73,497+94.0% |
| Participation rate | 55.6% | 61.2%-5.5pp | 69.0%-13.4pp | 70.7%-15.0pp |
| Annual return | 14.61% | 16.69%-2.1pp | 134.60%-120.0pp | 28.51%-13.9pp |
| Employer contribution / active EE | $441 | $991-55.5% | $2,122-79.2% | $2,270-80.6% |
| Participant deferral / active EE | $2,118 | $2,517-15.9% | $3,373-37.2% | $3,740-43.4% |
| Admin fee / account holder | $403 | $521-22.8% | $5,961-93.2% | $513-21.5% |