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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY2+ years Service code 55 · EIN 26-4310632 | Other Commissions | $42,419 |
Service code 37 · EIN 04-2647786 | Loan Processing | $8,075 |
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.
Annual investment return 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 | $35,223 | $155,795-77.4% | $136,298-74.2% | $69,631-49.4% |
| Participation rate | 52.9% | 75.2%-22.3pp | 81.9%-29.0pp | 70.7%-17.8pp |
| Annual return | 11.85% | 232464.33%-232452.5pp | 5156.27%-5144.4pp | 27571.02%-27559.2pp |
| Employer contribution / active EE | $1,065 | $2,991-64.4% | $4,696-77.3% | $2,032-47.6% |
| Participant deferral / active EE | $2,005 | $5,394-62.8% | $6,247-67.9% | $3,224-37.8% |
| Admin fee / account holder | $15 | $128-88.6% | $9,244-99.8% | $110-86.8% |