Filed April 25, 2002
This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.
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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY2 years Filed as: MORGAN STANLEY SMITH BARNEY HO Service code 28 · EIN 26-4310632 | Investment Management | $46,875 |
Filed as: SCHWAB RETIREMENT PLAN SERVICES,INC Service code 15 · EIN 34-1479833 | Recordkeeping | $38,387 |
CHARLES SCHWAB & CO., INC.3 years Filed as: CHARLES SCHWAB & CO INC AND AFFILIA Service code 59 | Shareholder Servicing | $0 |
CHARLES SCHWAB & CO., INC.3 years Filed as: CHARLES SCHWAB & CO., INC Service code 59 · EIN 94-1737782 | Shareholder Servicing | $0 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Plan reported corrective distributions (failed ADP/ACP testing).
Assets per participant exceed $250,000 - top-decile high-value plan.
The auditor declined to give an opinion. This is usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $527,251 | $99,957+427.5% | $149,696+252.2% | $73,488+617.5% |
| Participation rate | 99.3% | 75.7%+23.6pp | 82.5%+16.8pp | 70.7%+28.6pp |
| Annual return | 17.41% | 53.87%-36.5pp | 276.60%-259.2pp | 28.51%-11.1pp |
| Employer contribution / active EE | $18,752 | $3,191+487.6% | $4,644+303.8% | $2,270+726.0% |
| Participant deferral / active EE | $20,148 | $6,073+231.8% | $6,842+194.5% | $3,740+438.8% |
| Admin fee / account holder | $400 | $551-27.3% | $9,309-95.7% | $513-22.0% |