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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC5 years Filed as: UBS FINANCIAL SERVICES INC. Service code 28 · EIN 13-2638166 | Investment Management | $49,123 |
Filed as: MERRILL LYNCH Service code 28 · EIN 13-5674085 4 WORLD FIANCIAL CENTER · NEW YORK, NY 10281 | Investment Management | $14,659 |
Filed as: NORTHWESTERN MUTUAL INVESTMENT Service code 28 · EIN 52-2114207 | Investment Management | $5,747 |
Filed as: MORGAN STANLEY Service code 28 · EIN 13-2655998 | Investment Management | $5,562 |
UNITED OF OMAHA5 years Filed as: MUTUAL OF OMAHA Service code 63 · EIN 47-0246511 | 12b-1 Fees | $720 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Annual investment return is in the bottom quintile of the peer cohort.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Assets per participant exceed $250,000 - top-decile high-value plan.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $288,409 | $183,516+57.2% | $155,534+85.4% | $145,884+97.7% |
| Participation rate | 0.0% | 82.7%-82.7pp | 78.2%-78.2pp | 80.3%-80.3pp |
| Annual return | -19.38% | 61.43%-80.8pp | 64.92%-84.3pp | 551.85%-571.2pp |
| Employer contribution / active EE | $0 | $5,315-100.0% | $4,675-100.0% | $4,662-100.0% |
| Participant deferral / active EE | $0 | $6,467-100.0% | $5,630-100.0% | $6,690-100.0% |
| Admin fee / account holder | $4,509 | $19,293-76.6% | $15,900-71.6% | $13,392-66.3% |