# Ubs Ag 401(k) Plan
Source: https://planprovider.pro/companies/ubs-ag-401k-plan

> Ubs Ag's 401(k) plan: 24,260 participants, plan year 2024 financials, providers, and benchmarks from Form 5500.

Form 5500 filing data for plan year 2024.

## Plan Snapshot

- **Plan Sponsor:** Ubs Ag

- **Sponsor EIN:** 980186363

- **Sponsor Address:** 1000 HARBOR BLVD., 10TH FLOOR, WEEHAWKEN, NJ, 070866790

- **Plan Type:** 401(k)

- **Total Participants:** 24,260

- **Total Assets:** $10.2B

## Key Plan Design Features

- **Auto-Enrollment:** Yes

- **Auto-Escalation:** No

- **Allows Roth Contributions:** No

- **Participant Loans:** No

- **Participant-Directed Investments:** Yes

- **ERISA Section 404(c) Fiduciary Safe Harbor:** Yes

## Plan Financials by Year

| Year|Participants|Total Assets|Employer Contrib.|Employee Contrib.|

| 2024|24,260|$10.2B|$217.7M|$381.7M|

| 2023|21,342|$9.0B|$209.1M|$367.3M|

| 2022|21,584|$7.4B|$199.6M|$349.9M|

## Service Providers (Schedule C)

Vendors paid $5,000 or more for services to the plan, ranked by total compensation (direct + indirect fees).

| Provider Name|
Role|
Direct Compensation|
Indirect Compensation|
Total Fees|

| EAGLE CAPITAL MANAGEMENT, LLC|NONE|$3,812,964|—|$3,812,964|

| PERSHING LLC|NONE|—|$2,098,504|$2,098,504|

| T ROWE PRICE ASSOCIATES, INC.|NONE|$2,000,620|—|$2,000,620|

| ARTISAN PARTNERS LTD PARTNERSHIP|NONE|$1,122,648|—|$1,122,648|

| INVESCO TRUST COMPANY|NONE|$1,089,328|—|$1,089,328|

| WILLIAM BLAIR INVESTMENT MANAGEMENT|NONE|$813,064|—|$813,064|

| VICTORY CAPITAL MANAGEMENT|NONE|$791,591|—|$791,591|

| ALIGHT FINANCIAL SOLUTIONS LLC|BROKER|—|$778,427|$778,427|

| THE NORTHERN TRUST COMPANY|NONE|$373,435|—|$373,435|

| ALIGHT SOLUTIONS LLC|RECORDKEEPER|$64,965|—|$64,965|

| AON CONSULTING|NONE|$52,215|—|$52,215|

| NEWTON INVESTMENT MANAGEMENT|NONE|$49,121|—|$49,121|

| MORGAN LEWIS & BOCKIUS LLP|LEGAL|$33,824|—|$33,824|

| ERNST & YOUNG LLP|Auditor|—|—|$0|

### Verified Provider Profiles

Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:

- [EAGLE CAPITAL MANAGEMENT, LLC](https://planprovider.pro/provider/eagle-capital-management-llc) — NONE

- [PERSHING LLC](https://planprovider.pro/provider/northwestern-mutual) — NONE

- [VICTORY CAPITAL MANAGEMENT](https://planprovider.pro/provider/victory-capital-management-inc) — NONE

- [ALIGHT FINANCIAL SOLUTIONS LLC](https://planprovider.pro/provider/alight-solutions) — BROKER

- [ALIGHT SOLUTIONS LLC](https://planprovider.pro/provider/alight-solutions) — RECORDKEEPER

- [AON CONSULTING](https://planprovider.pro/provider/alight-solutions) — NONE

- [MORGAN LEWIS & BOCKIUS LLP](https://planprovider.pro/provider/meyer-unkovic-and-scott-llp) — LEGAL

- [ERNST & YOUNG LLP](https://planprovider.pro/provider/ernst-and-young-llp) — Auditor

## Plan Fees & Expenses

Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.

- **Total Service Provider Fees:** $13,080,706

- **Estimated Expense Ratio:** 0.128% of plan assets

### Historical Administrative Expenses

Breakdown of administrative expense categories reported on Form 5500 filings.

| Year|
Total Admin Expenses|
Investment Mgmt Fees|
Contract Admin Fees|
IQPA Audit Fees|
Professional Fees|

| 2024|$13,889,422|$13,680,218|—|—|—|

| 2023|$6,699,386|$5,035,242|—|—|—|

| 2022|$9,038,142|$8,039,263|$410,243|—|$588,800|

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