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| Provider | Service type | Compensation |
|---|---|---|
Service code 37 · EIN 04-2647786 | Loan Processing | $16,205 |
Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 26 · EIN 20-8764829 | Advisory (Participants) | $5,319 |
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.
Annual investment return is in the bottom quintile of the peer cohort.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $33,705 | $61,338-45.1% | $149,717-77.5% | $71,495-52.9% |
| Participation rate | 65.7% | 62.5%+3.2pp | 78.8%-13.0pp | 67.9%-2.2pp |
| Annual return | 10.93% | 35.86%-24.9pp | 134.41%-123.5pp | 28.85%-17.9pp |
| Employer contribution / active EE | $0 | $2,381-100.0% | $4,820-100.0% | $2,589-100.0% |
| Participant deferral / active EE | $3,651 | $2,919+25.1% | $5,682-35.7% | $4,291-14.9% |
| Admin fee / account holder | $149 | $1,263-88.2% | $13,213-98.9% | $1,588-90.6% |