Filed April 11, 2022
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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY3 years Filed as: MORGAN STANLEY GLOBAL BANKING OPER Service code 26 · EIN 26-4310632 | Advisory (Participants) | $81,160 |
Service code 37 · EIN 04-2647786 | Loan Processing | $5,775 |
Service code 61 · EIN 04-3333156 | Finders' fees / placement fees | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant is in the bottom quintile of the peer cohort.
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $34,473 | $88,874-61.2% | $123,553-72.1% | $75,289-54.2% |
| Participation rate | 46.7% | 75.9%-29.1pp | 82.3%-35.6pp | 72.4%-25.7pp |
| Annual return | 14.04% | 4.22%+9.8pp | 119.21%-105.2pp | -0.04%+14.1pp |
| Employer contribution / active EE | $133 | $3,256-95.9% | $4,628-97.1% | $2,405-94.5% |
| Participant deferral / active EE | $5,741 | $6,174-7.0% | $6,426-10.7% | $3,739+53.5% |
| Admin fee / account holder | $58 | $95-39.0% | $9,284-99.4% | $102-43.6% |