Filed July 17, 2015
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| Provider | Service type | Compensation |
|---|---|---|
Filed as: GREAT-WEST LIFE & ANNUITY INS. CO. Service code 15 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping | $18,441 |
MORGAN STANLEY SMITH BARNEY2+ years Filed as: MORGAN STANLEY Service code 27 1585 BROADWAY · NEW YORK, NY 10036 | Advisory (Plan) | $18,000 |
Filed as: STROOCK & STROOCK & LAVAN LLP Service code 29 180 MAIDEN LANE · NEW YORK, NY 10038 | Legal | $17,098 |
BDO USA, LLP1 year Filed as: BDO USA LLP Service code 10 PO BOX 642743 · PITTSBURGH, PA 152642743 | Accounting | $5,400 |
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 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 | $75,556 | $44,989+67.9% | $170,435-55.7% | $77,958-3.1% |
| Participation rate | 67.9% | 64.6%+3.2pp | 83.6%-15.7pp | 71.6%-3.8pp |
| Annual return | 15.94% | 19.61%-3.7pp | 205.94%-190.0pp | 20.87%-4.9pp |
| Employer contribution / active EE | $3,275 | $1,466+123.4% | $5,432-39.7% | $2,310+41.7% |
| Participant deferral / active EE | $7,602 | $2,208+244.4% | $4,939+53.9% | $3,537+115.0% |
| Admin fee / account holder | $39 | $69-44.0% | $13,881-99.7% | $97-60.4% |