Filed June 1, 2001
This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.
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| Provider | Service type | Compensation |
|---|---|---|
Service code 15 · EIN 13-3689044 230 W MONROE ST · CHICAGO, IL 60606 | Recordkeeping | $39,068 |
Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 22 · EIN 51-0116113 388 GREENWICH STREET · NEW YORK, NY 10013 | Insurance Broker | $11,635 |
Service code 15 · EIN 20-4548831 310 MONTROSE WEST AVE · COPLEY, OH 44321 | Recordkeeping | $2,250 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
The auditor declined to give an opinion. This is usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $63,392 | $66,302-4.4% | $110,238-42.5% | $56,287+12.6% |
| Participation rate | 63.6% | 74.9%-11.3pp | 79.8%-16.2pp | 69.9%-6.3pp |
| Annual return | -3.84% | -1.18%-2.7pp | 314.74%-318.6pp | -9.96%+6.1pp |
| Employer contribution / active EE | $1,421 | $2,047-30.6% | $3,826-62.9% | $2,111-32.7% |
| Participant deferral / active EE | $3,444 | $3,381+1.8% | $4,672-26.3% | $3,350+2.8% |
| Admin fee / account holder | $456 | $698-34.7% | $8,547-94.7% | $521-12.4% |