Filed April 20, 2016
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| Provider | Service type | Compensation |
|---|---|---|
Filed as: TRANSAMERICA FINANCIAL LIFE INSURAN Service code 15 · EIN 36-6071399 | Recordkeeping | $3,634 |
Service code 15 · EIN 41-0955056 | Recordkeeping | $625 |
Filed as: MORGAN STANLEY SMITH BANEY LLC Service code 22 · EIN 36-4310632 | Insurance Broker | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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).
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 | $37,445 | $47,977-22.0% | $154,111-75.7% | $56,287-33.5% |
| Participation rate | 37.7% | 66.2%-28.5pp | 83.0%-45.3pp | 69.9%-32.1pp |
| Annual return | -8.00% | 3.54%-11.5pp | 735.18%-743.2pp | -9.96%+2.0pp |
| Employer contribution / active EE | $833 | $2,169-61.6% | $5,298-84.3% | $2,111-60.5% |
| Participant deferral / active EE | $1,552 | $2,392-35.1% | $5,081-69.4% | $3,350-53.7% |
| Admin fee / account holder | $82 | $438-81.3% | $13,411-99.4% | $521-84.3% |