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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY3+ years Service code 55 · EIN 26-4310632 | Other Commissions | $16,851 |
Service code 37 · EIN 04-2647786 | Loan Processing | $3,450 |
Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 99 HARBORSIDE FINANCIAL CTR · JERSEY CITY, NJ 07311 | Other Fees | $0 |
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).
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 | $27,120 | $60,545-55.2% | $92,240-70.6% | $69,634-61.1% |
| Participation rate | 67.8% | 72.2%-4.3pp | 76.5%-8.7pp | 70.7%-2.9pp |
| Annual return | 15.21% | 19.71%-4.5pp | 176.29%-161.1pp | 27572.26%-27557.0pp |
| Employer contribution / active EE | $2 | $2,633-99.9% | $3,680-99.9% | $2,032-99.9% |
| Participant deferral / active EE | $1,611 | $2,828-43.0% | $3,897-58.7% | $3,224-50.0% |
| Admin fee / account holder | $12 | $145-91.9% | $5,194-99.8% | $110-89.4% |