Filed July 13, 2018
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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY4 years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 26 · EIN 20-8764829 | Advisory (Participants) | $85,911 |
Service code 37 · EIN 04-2647786 | Loan Processing | $29,860 |
STRATEGIC ADVISORS, INC.3 years Service code 27 · EIN 04-2654524 | Advisory (Plan) | $19,984 |
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 signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $47,676 | $122,596-61.1% | $184,260-74.1% | $199,960-76.2% |
| Participation rate | 63.9% | 86.9%-23.0pp | 86.8%-22.9pp | 72.0%-8.1pp |
| Annual return | 15.27% | 144.14%-128.9pp | 28.84%-13.6pp | 34.28%-19.0pp |
| Employer contribution / active EE | $2,336 | $4,570-48.9% | $6,427-63.7% | $3,036-23.0% |
| Participant deferral / active EE | $4,686 | $7,972-41.2% | $9,133-48.7% | $5,087-7.9% |
| Admin fee / account holder | $102 | $120-15.3% | $13,898-99.3% | $269-62.1% |