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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY2 years Filed as: MORGAN STANLEY GLOBAL BANKING OPERA Service code 99 · EIN 26-4310844 | Other Fees | $20,250 |
MORGAN STANLEY SMITH BARNEY2 years Filed as: MORGAN STANLEY Service code 99 · EIN 26-4310632 | Other Fees | $7,696 |
Service code 26 · EIN 71-0294708 | Advisory (Participants) | $3,523 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Participant contribution per participant is in the bottom quintile of the peer cohort.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $16,779 | $60,545-72.3% | $92,240-81.8% | $69,631-75.9% |
| Participation rate | 62.8% | 72.2%-9.4pp | 76.5%-13.7pp | 70.7%-7.9pp |
| Annual return | 15.05% | 19.71%-4.7pp | 176.29%-161.2pp | 27571.02%-27556.0pp |
| Employer contribution / active EE | $0 | $2,633-100.0% | $3,680-100.0% | $2,032-100.0% |
| Participant deferral / active EE | $1,130 | $2,828-60.0% | $3,897-71.0% | $3,224-64.9% |
| Admin fee / account holder | $5 | $145-96.7% | $5,194-99.9% | $110-95.6% |