| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Float revenue; Shareholder servicing ... | $501,614 |
MORGAN STANLEY SMITH BARNEY1+ years Filed as: MORGAN STANLEY WEALTH MANAGEMENT Service code 16 · EIN 26-4310844 | Consulting | $129,000 |
ERNST & YOUNG LLP1+ years Filed as: ERNST & YOUNG Service code 10 · EIN 34-6565596 | Accounting | $35,000 |
MID ATLANTIC CAPITAL CORPORATION1+ years Service code 33 · EIN 25-1409618 | Securities brokerage; Securities brok... | $0 |
NATIONAL FINANCIAL SERVICES1+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
Counterparties on defaulted loans (Part 1), defaulted leases (Part 2), and non-exempt prohibited transactions (Part 3). Presence of any row warrants fiduciary review.
| Category | Counterparty | Relationship / Terms | Address | Amount |
|---|---|---|---|---|
| Part 3 Non-exempt transaction | STATION CASINOS LLC | PLAN SPONSOR SEE ATTACHMENT, SCHEDULE G PART III | — | — |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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 | $20,029 | $34,910-42.6% | $59,496-66.3% | $69,651-71.2% |
| Participation rate | 61.6% | 37.9%+23.7pp | 54.6%+7.0pp | 66.6%-5.0pp |
| Annual return | 1.26% | 0.39%+0.9pp | 182.05%-180.8pp | 53.77%-52.5pp |
| Employer contribution / active EE | $298 | $496-39.9% | $1,153-74.2% | $2,241-86.7% |
| Participant deferral / active EE | $1,155 | $1,077+7.3% | $1,829-36.9% | $3,635-68.2% |
| Admin fee / account holder | $82 | $60+38.2% | $2,232-96.3% | $63+30.5% |