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| Provider | Service type | Compensation |
|---|---|---|
Service code 37 · EIN 04-2647786 | Loan Processing | $215,312 |
MORGAN STANLEY SMITH BARNEY1+ years Filed as: MORGAN STANLEY GLOBAL BANKING OPER Service code 26 · EIN 26-4310632 | Advisory (Participants) | $37,013 |
MORGAN STANLEY SMITH BARNEY1+ years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 26 · EIN 20-8764829 | Advisory (Participants) | $23,246 |
HAYS COMPANIES1+ years Service code 27 · EIN 41-1784898 | Advisory (Plan) | $6,971 |
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 signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $40,599 | $40,984-0.9% | $90,970-55.4% | $93,223-56.4% |
| Participation rate | 19.3% | 59.7%-40.5pp | 69.0%-49.8pp | 74.9%-55.7pp |
| Annual return | 43.54% | 17.56%+26.0pp | 134.60%-91.1pp | 19.29%+24.3pp |
| Employer contribution / active EE | $0 | $840-100.0% | $2,122-100.0% | $2,680-100.0% |
| Participant deferral / active EE | $890 | $1,856-52.0% | $3,373-73.6% | $4,563-80.5% |
| Admin fee / account holder | $160 | $75+113.2% | $5,961-97.3% | $79+102.2% |