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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY4+ years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 28 · EIN 26-4310632 | Investment Management | $18,580 |
HARRIS & CO PLLC1 year Filed as: HARRIS & CO., PLLC Service code 10 · EIN 26-4022510 | Accounting | $6,000 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $23,823 | $48,576-51.0% | $169,452-85.9% | $56,287-57.7% |
| Participation rate | 43.1% | 65.8%-22.8pp | 77.8%-34.7pp | 69.9%-26.8pp |
| Annual return | -7.20% | -2.51%-4.7pp | 1.83%-9.0pp | -9.96%+2.8pp |
| Employer contribution / active EE | $594 | $1,559-61.9% | $4,157-85.7% | $2,111-71.9% |
| Participant deferral / active EE | $820 | $3,275-75.0% | $5,277-84.5% | $3,350-75.5% |
| Admin fee / account holder | $315 | $435-27.5% | $9,110-96.5% | $521-39.4% |