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| Provider | Service type | Compensation |
|---|---|---|
Filed as: PURSHE KAPLAN STERLING INVESTMENTS Service code 49 · EIN 13-3749682 | Other Services | $31,885 |
MORGAN STANLEY SMITH BARNEY5+ years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 49 · EIN 26-4310632 | Other Services | $11,535 |
PRINCIPAL LIFE INSURANCE COMPANY5+ years Service code 13 · EIN 42-0127290 | Contract Administrator | $350 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Annual investment return is in the bottom quintile of the peer cohort.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
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 | $157,453 | $65,322+141.0% | $70,494+123.4% | $73,497+114.2% |
| Participation rate | 65.2% | 77.0%-11.7pp | 75.1%-9.8pp | 70.7%-5.4pp |
| Annual return | 4.39% | 15.71%-11.3pp | 109.16%-104.8pp | 28.51%-24.1pp |
| Employer contribution / active EE | $3,335 | $2,460+35.6% | $2,738+21.8% | $2,270+46.9% |
| Participant deferral / active EE | $2,893 | $3,375-14.3% | $3,711-22.0% | $3,740-22.6% |
| Admin fee / account holder | $3 | $214-98.5% | $3,848-99.9% | $513-99.4% |