Filed June 9, 2019 (most recent of 2 filings on file)
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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY2+ years Filed as: MORGAN STANLEY GLOBAL BANKING OPER Service code 26 · EIN 26-4310632 | Advisory (Participants) | $205,404 |
Service code 37 · EIN 04-2647786 | Loan Processing | $76,525 |
BARTON LAW OFFICE'S2+ years Service code 29 · EIN 74-2860676 | Legal | $8,532 |
MORGAN STANLEY SMITH BARNEY2+ years Service code 61 HARBORSIDE FINCL CTR PLAZA 2,2ND FL · JERSEY CITY, NJ 07311 | Finders' fees / placement fees | $0 |
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).
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $41,829 | $92,813-54.9% | $108,745-61.5% | $65,292-35.9% |
| Participation rate | 82.2% | 84.5%-2.3pp | 77.7%+4.5pp | 72.4%+9.8pp |
| Annual return | 34.70% | 14.67%+20.0pp | 46.22%-11.5pp | 11.84%+22.9pp |
| Employer contribution / active EE | $1,462 | $3,016-51.5% | $3,323-56.0% | $2,302-36.5% |
| Participant deferral / active EE | $3,970 | $5,191-23.5% | $5,121-22.5% | $3,579+10.9% |
| Admin fee / account holder | $54 | $56-3.5% | $6,144-99.1% | $57-5.5% |