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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY1+ years Service code 27 1 NEW YORK PLZ 12TH FL · NEW YORK, NY 10004 | Advisory (Plan) | $13,676 |
Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $950 |
Filed as: ADVISED ASSET GROUP Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Investment Management | $376 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant is in the bottom quintile of the peer cohort.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $66,544 | $50,464+31.9% | $75,784-12.2% | $52,331+27.2% |
| Participation rate | 67.5% | 66.8%+0.7pp | 75.8%-8.3pp | 68.1%-0.6pp |
| Annual return | 1.26% | 1.03%+0.2pp | 9.68%-8.4pp | 4.54%-3.3pp |
| Employer contribution / active EE | $0 | $1,988-100.0% | $3,323-100.0% | $1,882-100.0% |
| Participant deferral / active EE | $5,103 | $2,570+98.5% | $3,652+39.7% | $3,022+68.9% |
| Admin fee / account holder | $152 | $1,103-86.3% | $5,300-97.1% | $592-74.4% |