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| Provider | Service type | Compensation |
|---|---|---|
Service code 52 · EIN 04-1590850 | Indirect Investment Fees | $67,793 |
MORGAN STANLEY SMITH BARNEY2+ years Filed as: MORGAN STANLEY SMITH BARNEY, LLC Service code 27 · EIN 26-4310632 | Advisory (Plan) | $44,325 |
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 declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $37,348 | $71,802-48.0% | $133,975-72.1% | $57,658-35.2% |
| Participation rate | 69.6% | 85.5%-15.8pp | 87.1%-17.4pp | 70.2%-0.6pp |
| Annual return | 10.93% | 13.51%-2.6pp | 29.29%-18.4pp | 5.13%+5.8pp |
| Employer contribution / active EE | $859 | $3,161-72.8% | $5,211-83.5% | $1,974-56.5% |
| Participant deferral / active EE | $4,671 | $4,606+1.4% | $6,282-25.6% | $3,061+52.6% |
| Admin fee / account holder | $121 | $88+37.6% | $9,324-98.7% | $95+27.6% |