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| Provider | Service type | Compensation |
|---|---|---|
Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 15 · EIN 26-4310632 | Recordkeeping | $35,010 |
ADP BROKER-DEALER5+ years Filed as: ADP, LLC Service code 15 · EIN 13-3036745 | Recordkeeping | $5,538 |
ADP BROKER-DEALER5+ years Service code 49 · EIN 22-3319984 | Other Services | $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.
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 | $14,767 | $62,928-76.5% | $172,752-91.5% | $67,579-78.1% |
| Participation rate | 40.4% | 64.5%-24.1pp | 82.6%-42.3pp | 71.3%-30.9pp |
| Annual return | 20.86% | 30.36%-9.5pp | 802.97%-782.1pp | 378.56%-357.7pp |
| Employer contribution / active EE | $211 | $1,636-87.1% | $5,144-95.9% | $2,148-90.2% |
| Participant deferral / active EE | $985 | $2,145-54.1% | $5,198-81.1% | $3,539-72.2% |
| Admin fee / account holder | $78 | $167-53.4% | $13,955-99.4% | $142-45.4% |