Filed March 20, 2011 (most recent of 2 filings on file)
This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.
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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Distribution (12b-1) fees; Shareholde... | $263,824 |
MORGAN STANLEY SMITH BARNEY2 years Filed as: MORGAN STANLEY GLOBAL BANKING Service code 16 · EIN 26-4310632 | Consulting | $34,223 |
Filed as: MUTUAL OF AMERICA LIFE INS. CO. Service code 15 · EIN 13-1614399 | Recordkeeping | $8,037 |
NATIONAL FINANCIAL SERVICES4+ years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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 | $33,166 | $45,382-26.9% | $154,108-78.5% | $75,289-55.9% |
| Participation rate | 48.7% | 65.9%-17.2pp | 83.0%-34.4pp | 72.4%-23.7pp |
| Annual return | -5.06% | -0.47%-4.6pp | 735.21%-740.3pp | -0.04%-5.0pp |
| Employer contribution / active EE | $0 | $1,533-100.0% | $5,298-100.0% | $2,405-100.0% |
| Participant deferral / active EE | $3,137 | $2,384+31.6% | $5,081-38.2% | $3,739-16.1% |
| Admin fee / account holder | $135 | $89+51.5% | $13,411-99.0% | $102+32.3% |