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| Provider | Service type | Compensation |
|---|---|---|
Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $49,246 |
Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 55 1 NEW YORK PLZ 12TH FL · NEW YORK, NY 10004 | Other Commissions | $20,682 |
Filed as: MORGAN STANLEY INSURANCE SERVICES I Service code 55 1 NEW YORK PLZ 12TH FL · NEW YORK, NY 10004 | Other Commissions | $5,278 |
Filed as: ADVISED ASSETS GROUP, LLC Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Investment Management | $4,318 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $130,687 | $66,813+95.6% | $100,530+30.0% | $73,493+77.8% |
| Participation rate | 93.8% | 77.5%+16.4pp | 79.4%+14.4pp | 70.7%+23.2pp |
| Annual return | 14.07% | 25.70%-11.6pp | 30.89%-16.8pp | 28.51%-14.4pp |
| Employer contribution / active EE | $3,265 | $2,147+52.1% | $3,418-4.5% | $2,270+43.8% |
| Participant deferral / active EE | $6,550 | $5,883+11.3% | $6,271+4.4% | $3,740+75.1% |
| Admin fee / account holder | $403 | $512-21.4% | $8,083-95.0% | $513-21.5% |