Filed January 25, 2021 (most recent of 3 filings on file)
Total covered: 15 employees
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| Provider | Service type | Compensation |
|---|---|---|
THE VANGUARD GROUP, INC.4+ years Service code 15 · EIN 23-1945930 | Recordkeeping | $248,602 |
MORGAN STANLEY SMITH BARNEY2 years Filed as: MORGAN STANLEY Service code 16 · EIN 26-4310632 | Consulting | $135,000 |
FINDLEY1 year Service code 99 · EIN 34-1213174 | Other Fees | $36,756 |
NAWROCKI SMITH LLP4+ years Service code 16 · EIN 74-3216978 | Consulting | $16,000 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $101,027 | $83,812+20.5% | $123,553-18.2% | $68,904+46.6% |
| Participation rate | 68.3% | 77.0%-8.8pp | 82.3%-14.0pp | 74.1%-5.9pp |
| Annual return | 0.03% | 0.60%-0.6pp | 119.21%-119.2pp | 1.07%-1.0pp |
| Employer contribution / active EE | $1,766 | $2,924-39.6% | $4,628-61.8% | $2,540-30.5% |
| Participant deferral / active EE | $3,866 | $5,609-31.1% | $6,426-39.8% | $4,015-3.7% |
| Admin fee / account holder | $97 | $65+49.5% | $9,284-99.0% | $71+36.1% |