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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Finders' fees / placement fees; Parti... | $239,882 |
MORGAN STANLEY SMITH BARNEY3+ years Filed as: MORGAN STANLEY DEAN WITTER Service code 16 ONE NEW YORK PLAZA · NEW YORK, NY 10004 | Consulting | $106,056 |
NATIONAL FINANCIAL SERVICES3+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $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.
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 | $60,808 | $123,286-50.7% | $75,501-19.5% | $77,958-22.0% |
| Participation rate | 40.6% | 78.8%-38.1pp | 72.4%-31.7pp | 71.6%-31.0pp |
| Annual return | 15.78% | 20.45%-4.7pp | 27.35%-11.6pp | 20.87%-5.1pp |
| Employer contribution / active EE | $439 | $2,035-78.4% | $2,352-81.3% | $2,310-81.0% |
| Participant deferral / active EE | $2,366 | $3,095-23.6% | $3,142-24.7% | $3,537-33.1% |
| Admin fee / account holder | $197 | $144+36.9% | $5,801-96.6% | $97+102.6% |