Filed July 17, 2015
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| Provider | Service type | Compensation |
|---|---|---|
BDO USA, LLP3 years Filed as: BDO USA LLP Service code 10 · EIN 13-5381590 | Accounting | $34,500 |
Filed as: GREAT-WEST TRUST COMPANY, LLC (NY) Service code 15 · EIN 84-0467907 | Recordkeeping | $32,556 |
MORGAN STANLEY SMITH BARNEY4+ years Filed as: MORGAN STANLEY Service code 27 · EIN 36-3145972 | Advisory (Plan) | $9,000 |
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 | $132,746 | $47,456+179.7% | $172,757-23.2% | $77,775+70.7% |
| Participation rate | 64.9% | 66.3%-1.4pp | 82.6%-17.8pp | 73.2%-8.3pp |
| Annual return | 22.43% | 35.57%-13.1pp | 803.06%-780.6pp | 32.58%-10.1pp |
| Employer contribution / active EE | $3,238 | $1,574+105.7% | $5,144-37.1% | $2,504+29.3% |
| Participant deferral / active EE | $6,747 | $2,560+163.6% | $5,198+29.8% | $3,966+70.1% |
| Admin fee / account holder | $41 | $81-48.8% | $13,956-99.7% | $100-58.6% |