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| Provider | Service type | Compensation |
|---|---|---|
Service code 37 · EIN 04-2647786 | Loan Processing | $43,942 |
MORGAN STANLEY SMITH BARNEY4+ years Filed as: MORGAN STANLEY WEALTH MANAGEMENT Service code 26 · EIN 26-4310632 | Advisory (Participants) | $33,577 |
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $74,311 | $66,302+12.1% | $110,243-32.6% | $56,287+32.0% |
| Participation rate | 82.0% | 74.9%+7.1pp | 79.8%+2.2pp | 69.9%+12.1pp |
| Annual return | -4.90% | -1.18%-3.7pp | 314.76%-319.7pp | -9.96%+5.1pp |
| Employer contribution / active EE | $2,288 | $2,047+11.8% | $3,827-40.2% | $2,111+8.4% |
| Participant deferral / active EE | $4,800 | $3,381+42.0% | $4,672+2.7% | $3,350+43.3% |
| Admin fee / account holder | $322 | $698-53.9% | $8,548-96.2% | $521-38.3% |