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 |
|---|---|---|
Filed as: MORGAN STANLEY SMITH BARNEY HOLDING Service code 27 · EIN 26-4310632 | Advisory (Plan) | $147,970 |
Service code 49 · EIN 04-1590850 | Other Services | $128,718 |
AMERICAN FUNDS2 years Service code 52 · EIN 95-1411037 | Indirect Investment Fees | $0 |
COLUMBIA2 years Service code 52 · EIN 56-0906609 | Indirect Investment Fees | $0 |
DELAWARE INVESTMENTS2 years Service code 52 · EIN 23-2448660 | Indirect Investment Fees | $0 |
INVESCO2 years Service code 52 · EIN 76-0343427 | Indirect Investment Fees | $0 |
JANUS HENDERSON2 years Filed as: JANUS Service code 52 · EIN 84-0592523 | Indirect Investment Fees | $0 |
JANUS HENDERSON2 years Service code 52 · EIN 84-0592523 | Indirect Investment Fees | $0 |
Filed as: JOHN HANCOCK Service code 52 · EIN 04-3483032 | Indirect Investment Fees | $0 |
MORGAN STANLEY SMITH BARNEY2 years Filed as: JP MORGAN Service code 52 · EIN 33-1043149 | 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.
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 | $28,546 | $71,505-60.1% | $123,553-76.9% | $73,367-61.1% |
| Participation rate | 10.1% | 64.9%-54.8pp | 82.3%-72.2pp | 69.5%-59.4pp |
| Annual return | -3.64% | 6.94%-10.6pp | 119.21%-122.8pp | 173.45%-177.1pp |
| Employer contribution / active EE | $68 | $2,011-96.6% | $4,628-98.5% | $2,499-97.3% |
| Participant deferral / active EE | $194 | $4,928-96.1% | $6,426-97.0% | $4,033-95.2% |
| Admin fee / account holder | $27 | $66-58.7% | $9,284-99.7% | $68-60.2% |