Filed February 3, 2021
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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY2 years Filed as: MORGAN STANLEY DOMESTIC HOLDINGS, Service code 27 · EIN 20-8764829 | Advisory (Plan) | $101,465 |
CROWE LLP3 years Service code 10 · EIN 35-0921680 | Accounting | $11,944 |
Service code 37 · EIN 04-2647786 | Loan Processing | $8,234 |
STRATEGIC ADVISORS, INC.1 year Service code 27 · EIN 04-2654524 | Advisory (Plan) | $5,541 |
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).
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $110,367 | $79,181+39.4% | $102,423+7.8% | $74,429+48.3% |
| Participation rate | 97.5% | 74.8%+22.7pp | 76.5%+21.0pp | 67.2%+30.3pp |
| Annual return | 19.01% | 54.97%-36.0pp | 29.42%-10.4pp | 1368.38%-1349.4pp |
| Employer contribution / active EE | $9,898 | $2,362+319.1% | $3,023+227.4% | $2,625+277.1% |
| Participant deferral / active EE | $17,140 | $4,416+288.1% | $5,054+239.1% | $4,348+294.2% |
| Admin fee / account holder | $453 | $2,002-77.4% | $9,455-95.2% | $1,944-76.7% |