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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC6 years Filed as: UBS FINANCIAL SERVICES INC. Service code 26 · EIN 13-2638166 1000 HARBOR BLVD · NEW YORK, NY 10019 | Advisory (Participants) | $21,511 |
Filed as: JOHN HANCOCK USA Service code 15 · EIN 01-0233346 | Recordkeeping | $46 |
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.)
Annual investment return is in the bottom quintile of the peer cohort.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $83,593 | $58,320+43.3% | $86,439-3.3% | $66,930+24.9% |
| Participation rate | 54.6% | 78.6%-24.0pp | 80.3%-25.7pp | 69.8%-15.2pp |
| Annual return | -22.11% | -9.71%-12.4pp | 4395.55%-4417.7pp | 1.57%-23.7pp |
| Employer contribution / active EE | $0 | $2,615-100.0% | $3,769-100.0% | $2,545-100.0% |
| Participant deferral / active EE | $4,821 | $6,899-30.1% | $6,952-30.7% | $4,238+13.8% |
| Admin fee / account holder | $570 | $546+4.4% | $6,732-91.5% | $593-3.9% |