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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Direct payment from the plan; Investm... | $326,463 |
MORGAN STANLEY SMITH BARNEY4 years Filed as: MORGAN STANLEY Service code 27 · EIN 26-4310632 | Advisory (Plan) | $80,421 |
FOLEY & LARDNER LLP1 year Filed as: FOLEY & LARDNER, LLP Service code 29 · EIN 39-0473800 | Legal | $72,834 |
SRG LLP1 year Filed as: SRG, LLP Service code 10 · EIN 95-4476507 | Accounting | $16,150 |
Service code 33 · EIN 25-1409618 | Securities brokerage; Securities brok... | $0 |
NATIONAL FINANCIAL SERVICES4 years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Employer contribution per participant is in the bottom quintile of the peer cohort.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
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 | $12,713 | $53,565-76.3% | $172,752-92.6% | $82,204-84.5% |
| Participation rate | 94.6% | 69.6%+25.0pp | 82.6%+12.0pp | 73.4%+21.2pp |
| Annual return | 33.19% | 31.42%+1.8pp | 802.97%-769.8pp | 26.31%+6.9pp |
| Employer contribution / active EE | $1 | $1,857-100.0% | $5,144-100.0% | $2,707-100.0% |
| Participant deferral / active EE | $2,604 | $3,006-13.3% | $5,198-49.9% | $4,246-38.7% |
| Admin fee / account holder | $89 | $61+44.7% | $13,955-99.4% | $76+17.5% |