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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Finders' fees / placement fees; Sales... | $261,010 |
MORGAN STANLEY SMITH BARNEY3+ years Filed as: MORGAN STANLEY Service code 15 · EIN 26-4310632 | Recordkeeping | $117,016 |
HAFLINGER & ASSOCIATES, INC.3+ years Service code 10 · EIN 52-2207502 | Accounting | $16,855 |
MID ATLANTIC CAPITAL CORPORATION3+ years Service code 33 · EIN 25-1409618 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES3+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $222,297 | $52,149+326.3% | $122,354+81.7% | $77,958+185.1% |
| Participation rate | 7.2% | 58.6%-51.4pp | 71.6%-64.4pp | 71.6%-64.4pp |
| Annual return | 17.21% | 17.75%-0.5pp | 30.28%-13.1pp | 20.87%-3.7pp |
| Employer contribution / active EE | $602 | $1,750-65.6% | $4,051-85.1% | $2,310-74.0% |
| Participant deferral / active EE | $2,172 | $2,114+2.7% | $3,287-33.9% | $3,537-38.6% |
| Admin fee / account holder | $837 | $93+797.7% | $5,479-84.7% | $97+759.0% |