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| Provider | Service type | Compensation |
|---|---|---|
Service code 37 · EIN 04-2647786 | Loan Processing | $65,741 |
MORGAN STANLEY SMITH BARNEY1+ years Filed as: MORGAN STANLEY GLOBAL BANKING OPER Service code 26 · EIN 26-4310632 | Advisory (Participants) | $15,917 |
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 | $69,084 | $71,957-4.0% | $67,652+2.1% | $59,188+16.7% |
| Participation rate | 47.9% | 82.7%-34.7pp | 75.7%-27.7pp | 69.4%-21.5pp |
| Annual return | -0.62% | 8.53%-9.1pp | 6625.40%-6626.0pp | 5.51%-6.1pp |
| Employer contribution / active EE | $1,030 | $2,432-57.6% | $2,266-54.5% | $2,098-50.9% |
| Participant deferral / active EE | $1,622 | $4,211-61.5% | $3,560-54.4% | $3,265-50.3% |
| Admin fee / account holder | $230 | $64+259.1% | $4,821-95.2% | $92+149.8% |