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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY2+ years Filed as: MORGAN STANLEY GLOBAL BANKING OPS Service code 27 · EIN 26-4310632 | Advisory (Plan) | $70,000 |
FID INV INST OPS CO2+ years Service code 37 · EIN 04-2647786 | Loan Processing | $39,668 |
AXA EQUITABLE LIFE INSURANCE CO2+ years Service code 25 · EIN 13-5570651 | Directed Trustee | $7,565 |
NFP RETIREMENT INC1 year Filed as: NFP SECURITIES, INC Service code 55 | Other Commissions | $1,889 |
Filed as: PRUDENTIAL LIFE INSURANCE CO Service code 15 · EIN 22-1211670 | Recordkeeping | $702 |
FID INV INST OPS CO1 year Filed as: FID INV INSTL OPS CO Service code 60 | Sub-TA Fees | $0 |
NFP RETIREMENT INC2+ years Filed as: NFP SECURITIES, INC. Service code 28 · EIN 74-2794194 | Investment Management | $0 |
Filed as: THE PRUDENTIAL INS CO OF AMERICA Service code 52 | Indirect Investment Fees | $0 |
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.
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $37,707 | $43,110-12.5% | $156,551-75.9% | $65,292-42.2% |
| Participation rate | 81.4% | 69.3%+12.1pp | 84.0%-2.6pp | 72.4%+9.0pp |
| Annual return | 6.73% | 11.24%-4.5pp | 32.23%-25.5pp | 11.84%-5.1pp |
| Employer contribution / active EE | $111 | $1,702-93.5% | $5,501-98.0% | $2,302-95.2% |
| Participant deferral / active EE | $2,999 | $2,520+19.0% | $4,871-38.4% | $3,579-16.2% |
| Admin fee / account holder | $12 | $47-75.0% | $13,028-99.9% | $57-79.4% |