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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY6+ years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 15 · EIN 26-4310632 | Recordkeeping | $23,572 |
ADP BROKER-DEALER1 year Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $9,498 |
ADP BROKER-DEALER6+ years Service code 59 · EIN 22-3319984 | Shareholder Servicing | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $163,804 | $73,638+122.4% | $95,960+70.7% | $73,493+122.9% |
| Participation rate | 65.7% | 76.2%-10.5pp | 77.1%-11.4pp | 70.7%-5.0pp |
| Annual return | 20.81% | 16.78%+4.0pp | 91.63%-70.8pp | 28.51%-7.7pp |
| Employer contribution / active EE | $0 | $1,863-100.0% | $2,541-100.0% | $2,270-100.0% |
| Participant deferral / active EE | $4,949 | $3,617+36.8% | $4,167+18.8% | $3,740+32.3% |
| Admin fee / account holder | $341 | $482-29.3% | $6,797-95.0% | $513-33.6% |