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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY6+ years Service code 55 · EIN 26-4310632 | Other Commissions | $21,075 |
LAWRENCE F. TORNETTA LLC1 year Filed as: LAWRENCE F TORNETTA LLC Service code 10 · EIN 81-4649052 | Accounting | $15,000 |
Service code 25 · EIN 04-2647786 | Directed Trustee | $3,035 |
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.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $57,934 | $54,573+6.2% | $90,970-36.3% | $73,493-21.2% |
| Participation rate | 46.3% | 61.2%-14.9pp | 69.0%-22.7pp | 70.7%-24.4pp |
| Annual return | 11.94% | 16.69%-4.8pp | 134.58%-122.6pp | 28.51%-16.6pp |
| Employer contribution / active EE | $0 | $991-100.0% | $2,122-100.0% | $2,270-100.0% |
| Participant deferral / active EE | $2,465 | $2,517-2.1% | $3,373-26.9% | $3,740-34.1% |
| Admin fee / account holder | $198 | $521-62.0% | $5,960-96.7% | $513-61.4% |