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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY5+ years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 19 · EIN 26-4310632 1585 BROADWAY · NEW YORK, NY 11036 | Securities Custodian | $73,348 |
UMR5+ years Service code 13 · EIN 39-1995276 333 WEST VINE STREET · LEXINGTON, KY 40507 | Contract Administrator | $13,019 |
DUNN AND WALLBAUM LLC5+ years Service code 29 · EIN 46-1576504 105 DAVENTRY LANE · LOUISVILLE, KY 40223 | Legal | $11,316 |
ASCENSUS LLC1 year Filed as: LEDBETTER PARISI LLC Service code 29 · EIN 03-0599899 105 DAVENTRY LANE · LOUISVILLE, KY 40223 | Legal | $7,811 |
FRANK N HESTAND CPA PSC5+ years Service code 10 · EIN 61-1336870 261 REGENCY CIRCLE · LEXINGTON, KY 40503 | Accounting | $7,000 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
More than 10% of assets are held in cash - possible menu-design or default-fund problem.
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 | $43,574 | $46,722-6.7% | $130,660-66.7% | $65,185-33.2% |
| Participation rate | 100.0% | 60.9%+39.1pp | 71.7%+28.3pp | 70.2%+29.8pp |
| Annual return | 18.97% | 24.17%-5.2pp | 1709.29%-1690.3pp | 29.38%-10.4pp |
| Employer contribution / active EE | $4,187 | $1,488+181.5% | $4,092+2.3% | $2,177+92.3% |
| Participant deferral / active EE | $0 | $2,545-100.0% | $3,603-100.0% | $3,514-100.0% |
| Admin fee / account holder | $469 | $453+3.6% | $5,463-91.4% | $847-44.6% |