Filed May 2, 2017
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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY1+ years Filed as: MORGAN STANLEY Service code 10 · EIN 26-4310632 | Accounting | $25,000 |
Service code 12 · EIN 13-3689044 | Finders' fees / placement fees; Recor... | $21,125 |
MID ATLANTIC CAPITAL CORPORATION1+ years Service code 33 · EIN 25-1409618 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES1+ years Service code 33 · EIN 04-3523567 | Securities brokerage commissions and ... | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Annual investment return is in the bottom quintile of the peer cohort.
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 | $43,750 | $36,916+18.5% | $156,551-72.1% | $57,658-24.1% |
| Participation rate | 69.2% | 63.4%+5.8pp | 84.0%-14.8pp | 70.2%-1.0pp |
| Annual return | 4.19% | 12.38%-8.2pp | 32.23%-28.0pp | 5.13%-0.9pp |
| Employer contribution / active EE | $1,142 | $1,571-27.3% | $5,501-79.2% | $1,974-42.1% |
| Participant deferral / active EE | $1,889 | $1,926-1.9% | $4,871-61.2% | $3,061-38.3% |
| Admin fee / account holder | $59 | $82-28.1% | $13,028-99.5% | $95-37.3% |