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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY2+ years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 15 · EIN 26-4310632 | Recordkeeping | $6,147 |
ADP BROKER-DEALER2+ years Filed as: ADP, LLC Service code 15 · EIN 13-3036745 | Recordkeeping | $2,175 |
ADP BROKER-DEALER2+ years Service code 59 · EIN 22-3319984 | Shareholder Servicing | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
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 | $12,716 | $43,423-70.7% | $78,676-83.8% | $55,167-76.9% |
| Participation rate | 55.2% | 68.0%-12.8pp | 73.6%-18.3pp | 69.0%-13.8pp |
| Annual return | 6.85% | 11.53%-4.7pp | 62.19%-55.3pp | 169.23%-162.4pp |
| Employer contribution / active EE | $0 | $1,997-100.0% | $2,850-100.0% | $1,963-100.0% |
| Participant deferral / active EE | $585 | $2,509-76.7% | $3,517-83.4% | $3,054-80.8% |
| Admin fee / account holder | $76 | $416-81.7% | $4,510-98.3% | $504-84.8% |