Filed April 4, 2018
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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY2 years Filed as: MORGAN STANLEY Service code 27 1300 THAMES ST WHARF 4TH FL · BALTIMORE, MD 21231 | Advisory (Plan) | $96,575 |
AMERICAN FUNDS1 year Filed as: CAPITAL GROUP RETIREMENT PLAN SVCS. Service code 25 · EIN 82-4555287 | Directed Trustee | $9,628 |
MORGAN STANLEY SMITH BARNEY5+ years Service code 49 · EIN 26-4310632 | Other Services | $3 |
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 | $158,591 | $124,414+27.5% | $115,170+37.7% | $67,579+134.7% |
| Participation rate | 91.6% | 58.1%+33.6pp | 75.9%+15.7pp | 71.3%+20.4pp |
| Annual return | 20.60% | 29.40%-8.8pp | 35.60%-15.0pp | 378.56%-358.0pp |
| Employer contribution / active EE | $5,707 | $1,454+292.3% | $3,179+79.5% | $2,148+165.7% |
| Participant deferral / active EE | $3,202 | $2,331+37.4% | $4,169-23.2% | $3,539-9.5% |
| Admin fee / account holder | $320 | $361-11.5% | $7,089-95.5% | $142+124.8% |