Filed August 23, 2007
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 |
|---|---|---|
Service code 37 · EIN 04-2647786 | Loan Processing | $1,800 |
MORGAN STANLEY SMITH BARNEY2+ years Service code 61 · EIN 26-4310632 HARBORSIDE FINANCIAL CTR PLAZA 2 · JERSEY CITY, NJ 07311 | Finders' fees / placement fees | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
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 | $56,939 | $50,898+11.9% | $171,082-66.7% | $55,167+3.2% |
| Participation rate | 50.3% | 63.3%-13.0pp | 76.7%-26.4pp | 69.0%-18.7pp |
| Annual return | 10.96% | 15.34%-4.4pp | 32.56%-21.6pp | 169.23%-158.3pp |
| Employer contribution / active EE | $903 | $1,433-37.0% | $4,002-77.4% | $1,963-54.0% |
| Participant deferral / active EE | $1,708 | $2,994-42.9% | $4,797-64.4% | $3,054-44.1% |
| Admin fee / account holder | $17 | $500-96.6% | $8,520-99.8% | $504-96.7% |