Filed March 27, 2019
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| Provider | Service type | Compensation |
|---|---|---|
Service code 60 · EIN 04-2647786 | Sub-TA Fees | $0 |
Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 99 · EIN 26-4310632 | Other Fees | $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.
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 | $65,777 | $38,833+69.4% | $78,778-16.5% | $77,958-15.6% |
| Participation rate | 28.8% | 60.9%-32.1pp | 69.2%-40.4pp | 71.6%-42.8pp |
| Annual return | 24.01% | 20.31%+3.7pp | 35.62%-11.6pp | 20.87%+3.1pp |
| Employer contribution / active EE | $0 | $840-100.0% | $1,986-100.0% | $2,310-100.0% |
| Participant deferral / active EE | $1,621 | $1,776-8.7% | $2,958-45.2% | $3,537-54.2% |
| Admin fee / account holder | $76 | $89-14.9% | $5,134-98.5% | $97-22.2% |