Filed March 23, 2001
This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.
Sign up free to preview peer percentile detail
Free accounts unlock saves, downloads, and 3-year history.
Sign up free to preview 10-year trajectory
Free accounts unlock saves, downloads, and 3-year history.
| Provider | Service type | Compensation |
|---|---|---|
Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 26 · EIN 26-4310844 2000 WESTCHESTER AVE · PURCHASE, NY 10577 | Advisory (Participants) | $19,685 |
NWPS1 year Service code 37 · EIN 91-2090931 4025 DELRIDGE WAY SW · SEATTLE, MD 98106 | Loan Processing | $13,566 |
Participant 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.)
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 | $75,205 | $136,307-44.8% | $177,840-57.7% | $73,493+2.3% |
| Participation rate | 74.8% | 86.1%-11.3pp | 87.7%-12.9pp | 70.7%+4.1pp |
| Annual return | 22.20% | 18.68%+3.5pp | 48.32%-26.1pp | 28.51%-6.3pp |
| Employer contribution / active EE | $0 | $3,712-100.0% | $5,919-100.0% | $2,270-100.0% |
| Participant deferral / active EE | $3,110 | $5,829-46.6% | $7,714-59.7% | $3,740-16.8% |
| Admin fee / account holder | $361 | $596-39.3% | $12,431-97.1% | $513-29.6% |