Filed November 18, 2019 (most recent of 2 filings on file)
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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY2+ years Filed as: MORGAN STANLEY SMITH BARNEY, LLC Service code 27 · EIN 26-4310632 | Advisory (Plan) | $172,704 |
Service code 52 · EIN 04-1590850 | Indirect Investment Fees | $56,179 |
Annual investment return is in the bottom quintile of the peer cohort.
Plan reported corrective distributions (failed ADP/ACP testing).
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 | $47,339 | $41,256+14.7% | $86,582-45.3% | $77,958-39.3% |
| Participation rate | 89.7% | 63.0%+26.7pp | 73.5%+16.1pp | 71.6%+18.0pp |
| Annual return | 12.25% | 17.67%-5.4pp | 965.08%-952.8pp | 20.87%-8.6pp |
| Employer contribution / active EE | $2,509 | $1,613+55.6% | $2,839-11.6% | $2,310+8.6% |
| Participant deferral / active EE | $2,164 | $2,332-7.2% | $3,609-40.0% | $3,537-38.8% |
| Admin fee / account holder | $31 | $71-55.8% | $4,904-99.4% | $97-67.9% |