Filed March 27, 2019
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| Provider | Service type | Compensation |
|---|---|---|
Service code 37 · EIN 04-2647786 | Loan Processing | $56,442 |
MORGAN STANLEY SMITH BARNEY2 years Filed as: MORGAN STANLEY GLOBAL BANKING OPER Service code 26 · EIN 26-4310632 | Advisory (Participants) | $30,723 |
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 | $37,323 | $40,113-7.0% | $84,020-55.6% | $77,775-52.0% |
| Participation rate | 61.5% | 62.8%-1.2pp | 69.0%-7.5pp | 73.2%-11.7pp |
| Annual return | 20.70% | 23.27%-2.6pp | 71.31%-50.6pp | 32.58%-11.9pp |
| Employer contribution / active EE | $182 | $847-78.5% | $1,984-90.8% | $2,504-92.7% |
| Participant deferral / active EE | $2,457 | $2,030+21.0% | $3,239-24.1% | $3,966-38.0% |
| Admin fee / account holder | $74 | $92-19.5% | $6,101-98.8% | $100-26.3% |