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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY3+ years Service code 55 · EIN 26-4310632 | Other Commissions | $6,682 |
Service code 37 · EIN 04-2647786 | Loan Processing | $275 |
Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 99 HARBORSIDE FINANCIAL CTR · JERSEY CITY, NJ 07311 | Other Fees | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant is in the bottom quintile of the peer cohort.
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
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 | $114,914 | $85,766+34.0% | $136,298-15.7% | $70,126+63.9% |
| Participation rate | 65.4% | 74.2%-8.7pp | 81.9%-16.5pp | 69.5%-4.1pp |
| Annual return | 18.78% | 31.46%-12.7pp | 5156.27%-5137.5pp | 73.15%-54.4pp |
| Employer contribution / active EE | $0 | $2,966-100.0% | $4,696-100.0% | $2,343-100.0% |
| Participant deferral / active EE | $9,699 | $5,051+92.0% | $6,247+55.3% | $3,332+191.1% |
| Admin fee / account holder | $44 | $5,421-99.2% | $9,244-99.5% | $4,645-99.0% |