Filed September 22, 2014
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 52 · EIN 04-1590850 | Indirect Investment Fees | $148,333 |
Filed as: MORGAN STANLEY SMITH BARNEY LLC Service code 27 · EIN 26-4310632 | Advisory (Plan) | $131,778 |
FREED MAXICK CPAS PC1 year Filed as: FREEDMAXICK CPAS P.C Service code 10 · EIN 45-4051133 | Accounting | $15,400 |
WITHUMSMITH+BROWN, PC1 year Filed as: MORRISON BROWN ARGIZ & FARRA LLC Service code 10 · EIN 01-0720052 | Accounting | $8,500 |
MBAF1 year Filed as: MBAF, LLC Service code 10 · EIN 01-0720052 | Accounting | $8,000 |
AMERICAN FUNDS1 year Service code 52 · EIN 95-1411037 | Indirect Investment Fees | $0 |
COLUMBIA1 year Service code 52 · EIN 56-0906609 | Indirect Investment Fees | $0 |
DELAWARE INVESTMENTS1 year Service code 52 · EIN 23-2448660 | Indirect Investment Fees | $0 |
INVESCO1 year Service code 52 · EIN 76-0343427 | Indirect Investment Fees | $0 |
IVY FUNDS1 year Service code 52 · EIN 48-1112076 | Indirect Investment Fees | $0 |
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.
Employer 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 | $29,812 | $80,506-63.0% | $136,298-78.1% | $80,976-63.2% |
| Participation rate | 12.9% | 61.9%-49.0pp | 81.9%-69.0pp | 68.3%-55.4pp |
| Annual return | 122.07% | 27.70%+94.4pp | 5156.27%-5034.2pp | 22.91%+99.2pp |
| Employer contribution / active EE | $81 | $1,943-95.8% | $4,696-98.3% | $2,402-96.6% |
| Participant deferral / active EE | $257 | $4,601-94.4% | $6,247-95.9% | $3,848-93.3% |
| Admin fee / account holder | $30 | $72-58.1% | $9,244-99.7% | $67-55.4% |