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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY3+ years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 19 · EIN 26-4310632 1585 BROADWAY · NEW YORK, NY 11036 | Securities Custodian | $65,628 |
DUNN AND WALLBAUM LLC3+ years Service code 29 · EIN 46-1576504 105 DAVENTRY LANE · LOUISVILLE, KY 40223 | Legal | $15,171 |
UMR3+ years Service code 13 · EIN 39-1995276 333 WEST VINE STREET · LEXINGTON, KY 40507 | Contract Administrator | $13,571 |
FRANK N HESTAND CPA PSC3+ years Service code 10 · EIN 61-1336870 261 REGENCY CIRCLE · LEXINGTON, KY 40503 | Accounting | $6,000 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
Annual investment return is in the bottom quintile of the peer cohort.
Retirees and beneficiaries make up 25% or more of total participants - indicates an ageing workforce or a frozen plan.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $42,358 | $63,156-32.9% | $122,354-65.4% | $62,293-32.0% |
| Participation rate | 100.0% | 60.0%+40.0pp | 71.6%+28.4pp | 69.5%+30.5pp |
| Annual return | 12.61% | 20.61%-8.0pp | 30.28%-17.7pp | 28.90%-16.3pp |
| Employer contribution / active EE | $3,669 | $1,385+165.0% | $4,051-9.4% | $2,042+79.7% |
| Participant deferral / active EE | $0 | $2,321-100.0% | $3,287-100.0% | $3,169-100.0% |
| Admin fee / account holder | $494 | $440+12.4% | $5,479-91.0% | $479+3.1% |