Filed January 22, 2015
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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY4+ years Service code 27 · EIN 26-4310632 | Advisory (Plan) | $45,479 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $99,823 | $79,523+25.5% | $140,019-28.7% | $56,287+77.3% |
| Participation rate | 93.8% | 85.7%+8.1pp | 87.5%+6.3pp | 69.9%+24.0pp |
| Annual return | -4.78% | 2.39%-7.2pp | 651.15%-655.9pp | -9.96%+5.2pp |
| Employer contribution / active EE | $4,406 | $3,350+31.5% | $5,605-21.4% | $2,111+108.7% |
| Participant deferral / active EE | $5,558 | $5,129+8.4% | $6,927-19.8% | $3,350+65.9% |
| Admin fee / account holder | $311 | $614-49.3% | $10,705-97.1% | $521-40.2% |