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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY2 years Filed as: MORGAN STANLEY Service code 27 · EIN 36-3145972 1585 BROADWAY · NEW YORK, NY 10036 | Advisory (Plan) | $34,074 |
Filed as: EMPOWER ANNUITY INSURANCE COMPANY O Service code 15 · EIN 84-0467907 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping | $27,074 |
Filed as: EMPOWER ADVISORY GROUP, LLC Service code 26 · EIN 84-1532243 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Advisory (Participants) | $5,350 |
PRICEWATERHOUSECOOPERS LLP10+ years Service code 10 · EIN 13-4008324 4040 W BOY SCOUT BLVD · TAMPA, FL 33607 | Accounting | $261 |
Employer contribution per participant is in the bottom quintile of the peer cohort.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $197,726 | $88,203+124.2% | $165,100+19.8% | $74,478+165.5% |
| Participation rate | 82.1% | 73.1%+9.0pp | 78.6%+3.5pp | 67.2%+14.9pp |
| Annual return | 14.60% | 17.13%-2.5pp | 70.21%-55.6pp | 1370.56%-1356.0pp |
| Employer contribution / active EE | $0 | $2,601-100.0% | $4,348-100.0% | $2,626-100.0% |
| Participant deferral / active EE | $9,306 | $4,505+106.6% | $6,035+54.2% | $4,350+113.9% |
| Admin fee / account holder | $397 | $2,235-82.2% | $12,696-96.9% | $1,946-79.6% |