Filed April 9, 2018 (most recent of 2 filings on file)
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| Provider | Service type | Compensation |
|---|---|---|
Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 55 1 NEW YORK PLZ 12TH FLOOR · NEW YORK, NY 10004 | Other Commissions | $6,258 |
Filed as: EMPOWER ANNUITY INS CO OF AMERICA Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $4,964 |
Filed as: NATIONAL AUTOMOBILE DEALERS ASSN Service code 99 8400 WEST PARK DRIVE · MCCLEAN, VA 22102 | Other Fees | $1,319 |
STONES RIVER CONSULTING1 year Service code 13 · EIN 45-3783933 | Contract Administrator | $600 |
ASCENSUS LLC1 year Filed as: CAPFINACIAL PARTNERS LLC Service code 99 4208 SIX FORKS ROAD · RALEIGH, NC 27609 | Other Fees | $220 |
Service code 99 12 GILL STREET · WOBURN, MA 01801 | Other Fees | $72 |
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.
Employer 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).
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $15,912 | $49,451-67.8% | $79,580-80.0% | $66,938-76.2% |
| Participation rate | 57.1% | 61.3%-4.3pp | 69.5%-12.4pp | 69.8%-12.7pp |
| Annual return | 101.97% | 84.25%+17.7pp | 0.15%+101.8pp | 1.58%+100.4pp |
| Employer contribution / active EE | $0 | $1,266-100.0% | $2,413-100.0% | $2,545-100.0% |
| Participant deferral / active EE | $1,337 | $3,159-57.7% | $3,985-66.5% | $4,238-68.5% |
| Admin fee / account holder | $32 | $595-94.6% | $6,835-99.5% | $594-94.6% |