Filed August 31, 2015 (most recent of 2 filings on file)
This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Distribution (12b-1) fees; Shareholde... | $497,990 |
MORGAN STANLEY SMITH BARNEY8+ years Filed as: MORGAN STANLEY DEAN WITTER Service code 16 · EIN 13-3689044 | Consulting | $206,921 |
Filed as: HEALTHCARE COMMISSION SECURITIES CO Service code 16 | Consulting | $71,732 |
Filed as: HEALTHCARE COMMISSION SECURIES CO Service code 16 · EIN 04-3523567 ONE EMPIRE DRIVE · RENSSELAER, NY 12144 | Consulting | $0 |
NATIONAL FINANCIAL SERVICES8+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Annual investment return is in the bottom quintile of the peer cohort.
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $66,418 | $45,000+47.6% | $143,801-53.8% | $77,906-14.7% |
| Participation rate | 97.7% | 66.8%+30.9pp | 80.3%+17.4pp | 73.7%+24.0pp |
| Annual return | -17.99% | 29.03%-47.0pp | -0.04%-18.0pp | 12.16%-30.2pp |
| Employer contribution / active EE | $2,650 | $1,870+41.8% | $4,952-46.5% | $2,846-6.9% |
| Participant deferral / active EE | $5,548 | $3,157+75.8% | $5,639-1.6% | $4,805+15.5% |
| Admin fee / account holder | $124 | $98+25.5% | $14,680-99.2% | $133-6.8% |