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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY6+ years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 27 · EIN 26-4310632 1585 BROADWAY · NEW YORK, NY 11036 | Advisory (Plan) | $82,142 |
ASCENSUS LLC2 years Filed as: LEDBETTER PARISI LLC Service code 29 · EIN 03-0599899 105 DAVENTRY LANE · LOUISVILLE, KY 40223 | Legal | $42,500 |
UMR6+ years Service code 13 · EIN 39-1995276 333 WEST VINE STREET · LEXINGTON, KY 40507 | Contract Administrator | $13,076 |
FRANK N HESTAND CPA PSC6+ 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.)
Retirees and beneficiaries make up 25% or more of total participants - indicates an ageing workforce or a frozen plan.
Plan appears closed to new enrollment or frozen - balance-holders far exceed active participants, or the plan reports active distributions with no inflows. Exclude from peer benchmarks.
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $63,327 | $176,402-64.1% | $134,155-52.8% | $158,950-60.2% |
| Participation rate | 100.0% | 78.7%+21.3pp | 72.2%+27.8pp | 82.0%+18.0pp |
| Annual return | 11.03% | 63.66%-52.6pp | 36.34%-25.3pp | 302.91%-291.9pp |
| Employer contribution / active EE | $5,897 | $5,042+16.9% | $3,705+59.2% | $4,762+23.8% |
| Participant deferral / active EE | $0 | $4,093-100.0% | $3,500-100.0% | $5,983-100.0% |
| Admin fee / account holder | $827 | $8,719-90.5% | $6,685-87.6% | $11,248-92.6% |