Filed October 18, 2004
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 |
|---|---|---|
Filed as: UBS FINANCIAL SERVICES Service code 27 · EIN 13-2638166 | Advisory (Plan) | $50,198 |
MORGAN STANLEY SMITH BARNEY8 years Filed as: MORGAN STANLEY Service code 27 · EIN 36-3145972 | Advisory (Plan) | $27,003 |
JONES SIMKINS LLC8 years Service code 10 · EIN 46-1592906 | Accounting | $6,810 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Annual investment return 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.
Plan appears closed to new enrollment or frozen - balance-holders far exceed active participants, or the plan reports active distributions with no inflows. Exclude from peer benchmarks.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $192,261 | $151,490+26.9% | $120,580+59.4% | - |
| Participation rate | 0.0% | 67.5%-67.5pp | 72.0%-72.0pp | - |
| Annual return | 6.97% | 14.17%-7.2pp | 107.48%-100.5pp | - |
| Employer contribution / active EE | $0 | $2,542-100.0% | $3,469-100.0% | - |
| Participant deferral / active EE | $0 | $4,237-100.0% | $4,995-100.0% | - |
| Admin fee / account holder | $2,020 | $25,345-92.0% | $9,418-78.5% | - |