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 |
|---|---|---|
MORGAN STANLEY SMITH BARNEY3 years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 22 · EIN 51-0116113 388 GREENWICH STREET · NEW YORK, NY 10013 | Insurance Broker | $50,651 |
Service code 15 · EIN 13-3689044 230 W MONROE ST · CHICAGO, IL 60606 | Recordkeeping | $39,135 |
TRINITY PENSION CONSULTANTS3 years Service code 15 · EIN 20-4548831 310 MONTROSE WEST AVE · COPLEY, OH 44321 | Recordkeeping | $3,690 |
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.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
The auditor signed off without reservation. This is the cleanest opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $91,109 | $81,474+11.8% | $133,956-32.0% | $73,488+24.0% |
| Participation rate | 64.5% | 76.4%-11.8pp | 79.8%-15.3pp | 70.7%-6.1pp |
| Annual return | 15.00% | 19.40%-4.4pp | 45.09%-30.1pp | 28.51%-13.5pp |
| Employer contribution / active EE | $1,798 | $2,209-18.6% | $3,919-54.1% | $2,270-20.8% |
| Participant deferral / active EE | $4,164 | $3,786+10.0% | $5,048-17.5% | $3,740+11.4% |
| Admin fee / account holder | $645 | $713-9.6% | $8,927-92.8% | $513+25.7% |