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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY2 years Filed as: SMITH BARNEY Service code 28 555 CALIFORNIA ST 35TH FLOOR · SAN FRANCISCO, CA 94104 | Investment Management | $50,804 |
Service code 15 · EIN 20-1734977 2001 JUNIPERO SERRA BLVD #410 · SAN BRUNO, CA 94066 | Recordkeeping | $9,610 |
Filed as: SILICON VALLEY ACCOUNTANCY Service code 10 · EIN 77-0573944 3150 ALAMADEN EXPRESSWAY #105 · SAN JOSE, CA 95118 | Accounting | $6,912 |
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).
Assets per participant exceed $250,000 - top-decile high-value plan.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $567,040 | $62,589+806.0% | $76,768+638.6% | $64,173+783.6% |
| Participation rate | 0.0% | 72.8%-72.8pp | 77.0%-77.0pp | 69.6%-69.6pp |
| Annual return | -5.83% | -1.95%-3.9pp | 2.43%-8.3pp | 7.63%-13.5pp |
| Employer contribution / active EE | $1,161 | $1,832-36.6% | $2,485-53.3% | $2,381-51.2% |
| Participant deferral / active EE | $3,147 | $3,145+0.1% | $3,852-18.3% | $3,470-9.3% |
| Admin fee / account holder | $8,416 | $4,667+80.3% | $6,675+26.1% | $4,887+72.2% |