Filed November 4, 2016 (most recent of 2 filings on file)
This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.
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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY5 years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 27 · EIN 26-4310632 | Advisory (Plan) | $135,819 |
MORGAN STANLEY SMITH BARNEY3 years Filed as: MORGAN STANLEY BANKING OPERATIONS Service code 70 · EIN 26-4310632 | Consulting Fees | $125,000 |
Filed as: GREAT WEST LIFE & ANNUITY INSURANCE Service code 49 · EIN 84-0467907 | Other Services | $29,709 |
Filed as: ABERDEEN Service code 52 · EIN 51-0368279 | Indirect Investment Fees | $0 |
BLACKROCK5 years Service code 52 · EIN 51-0318674 | Indirect Investment Fees | $0 |
EATON VANCE5 years Service code 52 · EIN 04-2325690 | Indirect Investment Fees | $0 |
Filed as: JOHN HANCOCK Service code 52 · EIN 04-3279774 | Indirect Investment Fees | $0 |
MORGAN STANLEY SMITH BARNEY5 years Filed as: JP MORGAN Service code 52 · EIN 26-3613641 | Indirect Investment Fees | $0 |
LEGG MASON5 years Service code 52 · EIN 95-2705767 | Indirect Investment Fees | $0 |
MAINSTAY5 years Service code 52 · EIN 52-2206685 | Indirect Investment Fees | $0 |
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 | $104,315 | $185,342-43.7% | $111,308-6.3% | $86,821+20.1% |
| Participation rate | 97.4% | 81.0%+16.5pp | 77.3%+20.1pp | 72.3%+25.1pp |
| Annual return | 11.90% | 500.80%-488.9pp | 54.67%-42.8pp | 97.94%-86.0pp |
| Employer contribution / active EE | $3,462 | $2,246+54.1% | $2,732+26.7% | $2,406+43.9% |
| Participant deferral / active EE | $6,103 | $4,458+36.9% | $4,487+36.0% | $4,132+47.7% |
| Admin fee / account holder | $35 | $255-86.5% | $7,965-99.6% | $170-79.6% |