As a financial advisor, you can run detailed plan reports and access an Annual Plan Review to help you monitor plan performance and participant activity. These tools are available through your Advisor Portal at MyUbiquity.com (or at SimplyRetirement.com if you are a Principal advisor).

Who This Applies To

This article applies to financial advisors who manage retirement plans through Ubiquity’s Advisor Portal.

How to Access Plan Reports

  1. Log in to your Advisor Portal at MyUbiquity.com.
    • If you are a Principal advisor, log in at SimplyRetirement.com.
  2. From the left-side navigation menu, click Reports.
  3. Use the drop-down menu to select the report you’d like to run.
  4. Click Launch Report to generate and view the selected data.

Available Reports

You can choose from the following reports:

  • Participant Transactions Detail by Date – View participant activity during a specific time frame.
  • Employee Savings Report – See participant deferral rates and contributions.
  • Advisor Compensation Report – Review compensation paid to the advisor.
  • Employee Balance Report – View account balances for active and terminated participants.
  • Contribution Detail Report – See detailed contributions made to the plan.
  • Top Heavy Report – Identify whether the plan may be considered “top heavy” (a compliance test).
  • Transactions – Review all plan transactions, such as contributions, distributions, and transfers.
  • Required Minimum Distribution (RMD) Report – Track participants who are subject to IRS-mandated withdrawals.
  • Employee 401(k) Elections – View participant contribution elections (pre-tax, Roth).
  • Plan Loan Report – Review active participant loans.
  • Contribution Analysis Report – Compare reported compensation, deferrals, and employer contributions.
  • Summary of Investments – View plan investment allocations.

How to Access the Annual Plan Review

The Annual Plan Review is a summary report that provides an overview of the plan’s overall health. It is updated quarterly and includes up to three years of historical data, when available.

To access it:

  1. Log in to your Advisor Portal
  2. From the left-side navigation menu, click Plans.
  3. Locate the plan and click Annual Plan Review under the “View” column.

What You’ll Find in the Annual Plan Review

  • Total Account Value – Includes invested assets, loan balances (with accrued interest), and forfeiture balances (if applicable). Excludes pending cash or disbursements.
  • Participant Details – Number of active participants and their combined account balances.
  • Average Deferral Rates – Average employee contribution percentages and amounts.
  • Life Stage Information – Account values and balances for active and terminated participants, including Roth accounts.
  • Outstanding Loan Summary – Number of active loans and the participants holding them.

How to View Plan Provisions

  1. From the left-side navigation menu, click Plans.
  2. Choose the specific plan and click Plan Details.
  3. On the Plan Overview tab, scroll down to view the Plan Provisions section.

Need Help?

  • If you need assistance interpreting a report or accessing your Advisor Portal, please contact us.