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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 | $66,004+81.3% | $81,820+46.3% | $77,714+54.0% |
| Participation rate | 53.0% | 65.8%-12.8pp | 72.4%-19.4pp | 70.6%-17.6pp |
| Annual return | 15.99% | 26.65%-10.7pp | 777.93%-761.9pp | 31.26%-15.3pp |
| Employer contribution / active EE | $0 | $2,375-100.0% | $2,915-100.0% | $2,727-100.0% |
| Participant deferral / active EE | $5,989 | $3,508+70.7% | $4,323+38.5% | $4,649+28.8% |
| Admin fee / account holder | $377 | $527-28.5% | $7,391-94.9% | $433-13.0% |