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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY8 years Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 26 · EIN 20-8764829 | Advisory (Participants) | $50,000 |
FIDELITY INVESTMENTS INSTITUTIONAL10+ years Service code 37 · EIN 04-2647786 | Loan Processing | $18,034 |
PENSION ASSURANCE LLP6 years Service code 10 · EIN 30-0840934 | Accounting | $11,000 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Form 5500 reported that benefits due were not provided when due.
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $99,224 | $50,919+94.9% | $155,556-36.2% | $77,762+27.6% |
| Participation rate | 66.5% | 63.1%+3.4pp | 78.2%-11.8pp | 70.6%-4.1pp |
| Annual return | 19.30% | 34.84%-15.5pp | 64.84%-45.5pp | 31.27%-12.0pp |
| Employer contribution / active EE | $2,227 | $1,991+11.8% | $4,675-52.4% | $2,728-18.4% |
| Participant deferral / active EE | $3,712 | $2,824+31.4% | $5,631-34.1% | $4,651-20.2% |
| Admin fee / account holder | $149 | $437-65.8% | $15,885-99.1% | $433-65.5% |