Plan Snapshot
- Plan Sponsor: Ubs Financial Services INC.
- Sponsor EIN: 132638166
- Sponsor Address: 1000 HARBOR BLVD., 10TH FLR, WEEHAWKEN, NJ, 070866790
- Plan Type: DB
- Total Participants: 877
- Total Assets: $578.7M
Key Plan Design Features
- Auto-Enrollment: No
- Auto-Escalation: No
- Allows Roth Contributions: No
- Participant Loans: No
- Participant-Directed Investments: No
- ERISA Section 404(c) Fiduciary Safe Harbor: No
Plan Financials by Year
| Year | Participants | Total Assets | Employer Contrib. | Employee Contrib. |
|---|---|---|---|---|
| 2024 | 877 | $578.7M | $0 | $0 |
| 2023 | 973 | $631.0M | $0 | $0 |
| 2022 | 1,124 | $644.3M | $0 | $0 |
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 |
|---|---|---|---|---|
| ALIGHT SOLUTIONS LLC | Recordkeeper | $981,398 | — | $981,398 |
| LOOMIS SAYLES AND CO L.P. | Other Service Provider | $397,691 | — | $397,691 |
| MERCER INVESTMENT LLC | Other Service Provider | $317,114 | — | $317,114 |
| ATLANTA CAPITAL MANAGEMENT CO., LLC | Other Service Provider | $169,718 | — | $169,718 |
| DELOITTE CONSULTING LLP | Other Service Provider | $146,700 | — | $146,700 |
| INVESCO TRUST COMPANY | Other Service Provider | $145,016 | — | $145,016 |
| EAGLE CAPITAL MANAGEMENT, LLC | Investment Advisor | $144,463 | — | $144,463 |
| VOYA INVESTMENT MANAGEMENT CO. | Other Service Provider | $128,817 | — | $128,817 |
| ERNST & YOUNG | Auditor | $113,000 | — | $113,000 |
| LEGAL & GENERAL INVESTMENT | Other Service Provider | $101,442 | — | $101,442 |
| LEGG MASON, INC AND SUBSIDIARIES | Other Service Provider | $88,525 | — | $88,525 |
| CAPITAL GROUP PRIVATE CLIENT SERV. | Other Service Provider | $74,364 | — | $74,364 |
| NORTHERN TRUST CO. | Custodian / Trustee | $67,750 | — | $67,750 |
| COLUMBIA MANAGEMENT INVESTMENT ADV | Other Service Provider | $63,902 | — | $63,902 |
| ARTISAN PARTNERS LTD PARTNERSHIP | Other Service Provider | $55,698 | — | $55,698 |
| MORGAN LEWIS & BOCKIUS LLP | ERISA Attorney | $52,147 | — | $52,147 |
| STATE STREET RESEARCH & MANAGEMENT | Other Service Provider | $50,709 | — | $50,709 |
| ALLSPRING INTERMEDIATE II LLC | Other Service Provider | $36,829 | — | $36,829 |
Verified Provider Profiles
Direct links to verified profiles of matched retirement plan providers on PlanProvider.Pro:
- ALIGHT SOLUTIONS LLC — Recordkeeper
- EAGLE CAPITAL MANAGEMENT, LLC — Investment Advisor
- ERNST & YOUNG — Auditor
- MORGAN LEWIS & BOCKIUS LLP — ERISA Attorney
Plan Fees & Expenses
Annual service provider fees and administrative expenses sourced from DOL Form 5500 filings.
- Total Service Provider Fees: $3,135,283
- Estimated Expense Ratio: 0.542% 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 | $4,591,359 | $2,313,251 | $259,700 | — | — |
| 2023 | $4,486,601 | $2,223,439 | $222,300 | — | — |
| 2022 | $4,377,749 | $1,841,786 | $606,366 | — | $1,107,219 |