Filed December 4, 2017
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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY4 years Service code 15 · EIN 20-8764829 | Recordkeeping | $42,685 |
RSM US LLP2 years Service code 15 · EIN 42-0714325 | Recordkeeping | $36,823 |
DILWORTH PAXSON LLP2 years Service code 15 · EIN 23-1398811 | Recordkeeping | $30,911 |
ADP BROKER-DEALER5 years Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $29,387 |
ADP BROKER-DEALER10+ years Service code 59 · EIN 22-3319984 | Shareholder Servicing | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Annual investment return 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 | $14,925 | $31,741-53.0% | $56,033-73.4% | $199,960-92.5% |
| Participation rate | 26.6% | 32.3%-5.7pp | 52.5%-25.9pp | 72.0%-45.4pp |
| Annual return | 11.94% | 14.72%-2.8pp | 1711.38%-1699.4pp | 34.28%-22.3pp |
| Employer contribution / active EE | $375 | $508-26.1% | $1,041-64.0% | $3,036-87.6% |
| Participant deferral / active EE | $1,060 | $1,184-10.5% | $1,954-45.7% | $5,087-79.2% |
| Admin fee / account holder | $123 | $426-71.1% | $2,827-95.6% | $269-54.2% |