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| Provider | Service type | Compensation |
|---|---|---|
Service code 64 · EIN 71-0294708 | Recordkeeping Fees | $131,704 |
MORGAN STANLEY SMITH BARNEY3+ years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 55 · EIN 26-4310632 | Other Commissions | $65,200 |
Service code 10 · EIN 58-2283283 | Accounting | $15,578 |
Service code 29 · EIN 58-0619407 | Legal | $12,485 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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 declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $62,002 | $71,666-13.5% | $117,860-47.4% | $69,631-11.0% |
| Participation rate | 67.3% | 77.5%-10.2pp | 79.7%-12.3pp | 70.7%-3.3pp |
| Annual return | 17.95% | 18.86%-0.9pp | 335.10%-317.1pp | 27571.02%-27553.1pp |
| Employer contribution / active EE | $779 | $1,889-58.8% | $3,786-79.4% | $2,032-61.7% |
| Participant deferral / active EE | $2,693 | $3,340-19.4% | $4,482-39.9% | $3,224-16.5% |
| Admin fee / account holder | $331 | $120+174.9% | $8,021-95.9% | $110+199.5% |