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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY2 years Filed as: MORGAN STANLEY GLOBAL BANKING OPER Service code 26 · EIN 26-4310632 | Advisory (Participants) | $21,524 |
Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 26 · EIN 20-8764829 | Advisory (Participants) | $6,988 |
Service code 37 · EIN 04-2647786 | Loan Processing | $150 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan appears closed to new enrollment or frozen - balance-holders far exceed active participants, or the plan reports active distributions with no inflows. Exclude from peer benchmarks.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $109,948 | $115,903-5.1% | $100,528+9.4% | $158,966-30.8% |
| Participation rate | 40.0% | 81.6%-41.6pp | 79.4%-39.4pp | 82.0%-42.0pp |
| Annual return | 12.82% | 34.80%-22.0pp | 30.90%-18.1pp | 302.95%-290.1pp |
| Employer contribution / active EE | $552 | $4,105-86.6% | $3,419-83.8% | $4,762-88.4% |
| Participant deferral / active EE | $5,863 | $6,677-12.2% | $6,271-6.5% | $5,983-2.0% |
| Admin fee / account holder | $273 | $11,000-97.5% | $8,084-96.6% | $11,250-97.6% |