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 |
|---|---|---|
Service code 13 · EIN 06-1050034 | Contract Administrator | $77,640 |
MORGAN STANLEY SMITH BARNEY3 years Filed as: MORGAN STANLEY GLOBAL BANKING OPERA Service code 27 · EIN 20-8764829 | Advisory (Plan) | $60,000 |
AUDIT AND TAX SOLUTIONS2 years Filed as: AUDIT & TAX SOLUTIONS CPA INC Service code 10 · EIN 94-3211753 | Accounting | $20,250 |
OGLETREE DEAKINS6 years Service code 29 · EIN 57-1044820 | Legal | $8,840 |
Filed as: PRUDENTIAL INVESTMENT MANAGEMENT SE Service code 63 · EIN 36-3297908 | 12b-1 Fees | $3,562 |
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 | $32,972 | $51,728-36.3% | $80,793-59.2% | $106,520-69.0% |
| Participation rate | 83.3% | 33.9%+49.4pp | 54.2%+29.1pp | 71.3%+12.0pp |
| Annual return | 12.14% | 32.29%-20.1pp | 87.33%-75.2pp | 19.28%-7.1pp |
| Employer contribution / active EE | $215 | $460-53.2% | $1,160-81.4% | $2,840-92.4% |
| Participant deferral / active EE | $2,095 | $1,076+94.7% | $2,144-2.3% | $4,948-57.7% |
| Admin fee / account holder | $12 | $80-85.0% | $3,375-99.6% | $75-83.9% |