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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY3+ years Service code 55 · EIN 26-4310632 | Other Commissions | $31,781 |
Service code 37 · EIN 04-2647786 | Loan Processing | $919 |
Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 99 HARBORSIDE FINANCIAL CTR · JERSEY CITY, NJ 07311 | Other Fees | $0 |
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).
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 | $57,847 | $80,753-28.4% | $136,298-57.6% | $62,293-7.1% |
| Participation rate | 67.3% | 73.5%-6.3pp | 81.9%-14.6pp | 69.5%-2.2pp |
| Annual return | 27.31% | 35.83%-8.5pp | 5156.27%-5129.0pp | 28.90%-1.6pp |
| Employer contribution / active EE | $471 | $2,884-83.7% | $4,696-90.0% | $2,042-76.9% |
| Participant deferral / active EE | $5,122 | $5,164-0.8% | $6,247-18.0% | $3,169+61.6% |
| Admin fee / account holder | $4 | $525-99.2% | $9,244-100.0% | $479-99.1% |