Filed January 5, 2009 (most recent of 3 filings on file)
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.
| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY2 years Filed as: MORGAN STANLEY GLOBAL BANKING OPERA Service code 27 · EIN 20-8764829 | Advisory (Plan) | $80,000 |
Service code 13 · EIN 06-1050034 | Contract Administrator | $72,462 |
AUDIT AND TAX SOLUTIONS1 year Filed as: AUDIT & TAX SOLUTIONS CPA INC Service code 10 · EIN 94-3211753 | Accounting | $20,250 |
Filed as: MORGAN STANLEY SMITH BARNEY HOLDING Service code 27 · EIN 26-4310632 | Advisory (Plan) | $20,000 |
OGLETREE DEAKINS5 years Service code 29 · EIN 57-1044820 | Legal | $17,071 |
Filed as: PRUDENTIAL INVESTMENT MANAGEMENT SE Service code 63 · EIN 13-4122960 | 12b-1 Fees | $2,246 |
Filed as: NATIONAL FINANCIAL SERVICES, LLC Service code 15 · EIN 04-3523567 | Recordkeeping | $0 |
Filed as: PRUDENTIAL INSURANCE CO. Service code 99 · EIN 22-1211670 | Other Fees | $0 |
Filed as: PRUDENTIAL TRUST CO. Service code 52 · EIN 23-6994310 | Indirect Investment Fees | $0 |
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).
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 | $33,796 | $48,082-29.7% | $77,557-56.4% | $106,273-68.2% |
| Participation rate | 77.5% | 33.6%+44.0pp | 54.2%+23.3pp | 70.8%+6.7pp |
| Annual return | 11.24% | 15.72%-4.5pp | 54.83%-43.6pp | 21.70%-10.5pp |
| Employer contribution / active EE | $402 | $457-12.2% | $987-59.3% | $2,722-85.2% |
| Participant deferral / active EE | $1,832 | $1,043+75.7% | $1,861-1.5% | $4,601-60.2% |
| Admin fee / account holder | $17 | $79-79.1% | $2,860-99.4% | $78-78.8% |