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 | Participant loan processing; Float re... | $533,881 |
MORGAN STANLEY SMITH BARNEY9+ years Filed as: MORGAN STANLEY DEAN WITTER Service code 16 · EIN 13-3689044 | Consulting | $213,005 |
Filed as: HEALTHCARE COMMISSION SECURITIES CO Service code 16 | Consulting | $73,842 |
Filed as: HEALTHCARE COMMISSION SECUR CO Service code 16 · EIN 04-3523567 ONE EMPIRE DRIVE · RENSSELAER, NY 12144 | Consulting | $0 |
NATIONAL FINANCIAL SERVICES9+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $80,333 | $50,169+60.1% | $149,740-46.4% | $80,187+0.2% |
| Participation rate | 97.7% | 64.3%+33.4pp | 78.8%+18.9pp | 72.9%+24.8pp |
| Annual return | 19.24% | 29.82%-10.6pp | 134.51%-115.3pp | 40.40%-21.2pp |
| Employer contribution / active EE | $2,753 | $1,869+47.2% | $4,821-42.9% | $2,980-7.6% |
| Participant deferral / active EE | $5,785 | $3,194+81.1% | $5,683+1.8% | $5,016+15.3% |
| Admin fee / account holder | $133 | $153-12.8% | $13,222-99.0% | $145-8.1% |