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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY4+ years Filed as: MORGAN STANLEY Service code 26 · EIN 26-4310632 | Advisory (Participants) | $100,566 |
ASCENSUS LLC4+ years Filed as: ASCENSUS Service code 13 · EIN 11-3665754 | Contract Administrator | $5,025 |
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.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $84,065 | $62,267+35.0% | $110,243-23.7% | $55,725+50.9% |
| Participation rate | 66.8% | 78.1%-11.3pp | 79.8%-13.0pp | 70.9%-4.1pp |
| Annual return | -4.45% | -1.07%-3.4pp | 314.76%-319.2pp | 244.93%-249.4pp |
| Employer contribution / active EE | $263 | $1,941-86.5% | $3,827-93.1% | $2,078-87.4% |
| Participant deferral / active EE | $2,116 | $3,516-39.8% | $4,672-54.7% | $3,356-36.9% |
| Admin fee / account holder | $491 | $121+306.0% | $8,548-94.3% | $115+326.2% |