Filed March 21, 2001
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 Service code 27 · EIN 13-2655998 | Advisory (Plan) | $40,000 |
Service code 15 · EIN 06-1050034 | Recordkeeping | $23,268 |
Filed as: MCCONNELL & JONES, LLP Service code 10 · EIN 76-0488832 | Accounting | $19,312 |
Filed as: PRINCIPAL FINANCIAL GROUP Service code 49 · EIN 42-0127290 | Other Services | $14,482 |
Filed as: THE PRUDENTIAL INSURANCE COMPANY OF Service code 15 | Recordkeeping | $0 |
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 | $29,562 | $54,392-45.6% | $84,753-65.1% | $63,975-53.8% |
| Participation rate | 100.0% | 76.9%+23.1pp | 76.6%+23.4pp | 71.1%+28.9pp |
| Annual return | 14.40% | 611.38%-597.0pp | 22.78%-8.4pp | 48.65%-34.3pp |
| Employer contribution / active EE | $2,303 | $2,943-21.8% | $3,574-35.6% | $2,182+5.6% |
| Participant deferral / active EE | $2,891 | $2,593+11.5% | $3,712-22.1% | $3,356-13.9% |
| Admin fee / account holder | $43 | $136-68.2% | $5,333-99.2% | $70-38.7% |