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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY2+ years Filed as: MORGAN STANLEY Service code 70 · EIN 26-4310632 | Consulting Fees | $43,310 |
Filed as: MERRILL LYNCH, PIERCE, FENNER AND S Service code 15 · EIN 13-5674085 | Recordkeeping | $25,364 |
Counterparties on defaulted loans (Part 1), defaulted leases (Part 2), and non-exempt prohibited transactions (Part 3). Presence of any row warrants fiduciary review.
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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 | $62,581 | $63,905-2.1% | $74,184-15.6% | $57,658+8.5% |
| Participation rate | 96.5% | 79.8%+16.8pp | 76.6%+19.9pp | 70.2%+26.3pp |
| Annual return | 7.22% | 60.60%-53.4pp | 17.74%-10.5pp | 5.13%+2.1pp |
| Employer contribution / active EE | $3,692 | $1,840+100.6% | $2,370+55.8% | $1,974+87.0% |
| Participant deferral / active EE | $4,216 | $3,448+22.3% | $3,550+18.8% | $3,061+37.7% |
| Admin fee / account holder | $179 | $91+97.0% | $5,586-96.8% | $95+89.7% |