Filed June 5, 2025
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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY3 years Filed as: MORGAN STANLEY SMITH BARNEY HOLDING Service code 49 1 NEW YORK PLAZA FL 12 · NEW YORK, NY 10004 | Other Services | $40,370 |
Filed as: EMPOWER ADVISORY Service code 28 8515 E ORCHARD RD · GREENWOOD VILLAGE, CO 80111 | Investment Management | $39,558 |
Filed as: GREAT-WEST LIFE & ANNUITY Service code 64 8515 E ORCHARD RD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $1,378 |
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.
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 | $42,588 | $37,196+14.5% | $154,108-72.4% | $55,725-23.6% |
| Participation rate | 46.3% | 64.1%-17.8pp | 83.0%-36.7pp | 70.9%-24.5pp |
| Annual return | -4.49% | 1319.68%-1324.2pp | 735.21%-739.7pp | 244.93%-249.4pp |
| Employer contribution / active EE | $0 | $1,614-100.0% | $5,298-100.0% | $2,078-100.0% |
| Participant deferral / active EE | $1,524 | $2,068-26.3% | $5,081-70.0% | $3,356-54.6% |
| Admin fee / account holder | $179 | $102+75.9% | $13,411-98.7% | $115+55.1% |