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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY3+ years Service code 55 · EIN 26-4310632 | Other Commissions | $9,971 |
Service code 60 · EIN 04-2647786 | Sub-TA Fees | $25 |
Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 99 HARBORSIDE FINANCIAL CTR · JERSEY CITY, NJ 07311 | Other Fees | $0 |
Filed as: NATIONAL FINANCIAL SERVICES LLC Service code 61 · EIN 04-3523567 | Finders' fees / placement fees | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant is in the bottom quintile of the peer cohort.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $103,925 | $67,602+53.7% | $82,312+26.3% | $70,126+48.2% |
| Participation rate | 25.7% | 72.8%-47.1pp | 76.9%-51.2pp | 69.5%-43.9pp |
| Annual return | 16.70% | 21.57%-4.9pp | 25.88%-9.2pp | 73.15%-56.5pp |
| Employer contribution / active EE | $0 | $1,755-100.0% | $2,428-100.0% | $2,343-100.0% |
| Participant deferral / active EE | $2,392 | $2,987-19.9% | $3,706-35.5% | $3,332-28.2% |
| Admin fee / account holder | $1 | $4,512-100.0% | $5,608-100.0% | $4,645-100.0% |