Filed April 11, 2022
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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY5 years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 26 · EIN 20-8764829 | Advisory (Participants) | $161,414 |
Service code 60 · EIN 04-2647786 | Sub-TA 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 signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $46,820 | $120,450-61.1% | $159,474-70.6% | $93,010-49.7% |
| Participation rate | 44.2% | 78.0%-33.7pp | 82.8%-38.6pp | 73.9%-29.7pp |
| Annual return | 21.51% | 27.11%-5.6pp | 263.68%-242.2pp | 158.70%-137.2pp |
| Employer contribution / active EE | $228 | $3,526-93.5% | $4,831-95.3% | $2,705-91.6% |
| Participant deferral / active EE | $5,974 | $7,283-18.0% | $7,353-18.8% | $4,561+31.0% |
| Admin fee / account holder | $75 | $137-44.8% | $10,802-99.3% | $152-50.2% |