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Original filing (PDF)20230915115650NAL0024322113001
UNIVERSAL ENGRAVING, INC.
Form 5500
FILING_RECEIVED
UEI GROUP 401(K) PLAN
401(k) retirement plan
Signals · 1
1 failed disclosure
Active participants
116
Accounts w/ balance
132
Plan assets (EOY)
$14.4M
Net assets (EOY)
$14.4M
Plan health score (directional)
86
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
85
Concentration risk
75
Total plan cost
80
Vendor stack
100
Participation health
100
Knocking points off
- 1 Schedule C provider failed to disclose compensation.
- 39 bps in Schedule C fees — modestly above peer band of 29 bps.
Helping the score
- Concentration not scored — Schedule of Assets PDF not yet parsed for this plan.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for UNIVERSAL ENGRAVING, INC..
Plan sponsor
Name
UNIVERSAL ENGRAVING, INC.
EIN
48-0943020
Address
9000 NIEMAN ROAD · OVERLAND PARK, KS · 66214
Phone
(913) 599-0600
Industry
Manufacturingsee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
002
Plan year
2022
Plan year begin
2022-01-01
Tax period
2022-12-31
Filed
2023-09-15
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2R · Participant-directed brokerage (SDBA)
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
RUBINBROWN LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | 04-2647786 | — | RECORDKEEPER | $23K | — |
Advisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CETERA ADVISORS LLC | 84-0858799 | — | ADVISOR | $27K | — |
| QUALIFIED PLAN ADVISORS | 82-1364595 | — | INVESTMENT ADVISOR | $7K | — |
Failed / refused disclosures (Sched C Part 2)
| Provider | Nondisclosure info |
|---|---|
| — | — |
Investments
The Schedule of Assets is filed as a free-form PDF attachment on EFAST2; we parse these offline and coverage is partial (priority is the largest plans by EOY assets). This plan also reports no pooled (Schedule D) interests, so its holdings aren’t hidden on a master-trust filing. The line-item data lives on DOL EFAST2 under the same ACK_ID.
See Methodology > Data linkages for how Form 5500 / Schedule H / Schedule D / Schedule of Assets fit together.
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