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| Provider | Service type | Compensation |
|---|---|---|
Service code 64 · EIN 71-0294708 | Recordkeeping Fees | $95,360 |
MORGAN STANLEY SMITH BARNEY3 years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 55 1 NEW YORK PLZ FL 12 · NEW YORK, NY 10004 | Other Commissions | $64,216 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $119,669 | $65,960+81.4% | $81,882+46.1% | $77,762+53.9% |
| Participation rate | 53.0% | 65.8%-12.8pp | 72.4%-19.4pp | 70.6%-17.6pp |
| Annual return | 15.99% | 26.64%-10.7pp | 779.47%-763.5pp | 31.27%-15.3pp |
| Employer contribution / active EE | $0 | $2,375-100.0% | $2,916-100.0% | $2,728-100.0% |
| Participant deferral / active EE | $5,989 | $3,505+70.9% | $4,323+38.5% | $4,651+28.8% |
| Admin fee / account holder | $377 | $526-28.4% | $7,360-94.9% | $433-12.9% |