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| Provider | Service type | Compensation |
|---|---|---|
MORGAN STANLEY SMITH BARNEY5+ years Service code 49 · EIN 26-4310844 | Other Services | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
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 | $21,566 | $52,961-59.3% | $172,752-87.5% | $65,185-66.9% |
| Participation rate | 31.1% | 66.2%-35.1pp | 82.6%-51.6pp | 70.2%-39.1pp |
| Annual return | 20.52% | 30.12%-9.6pp | 802.97%-782.5pp | 29.38%-8.9pp |
| Employer contribution / active EE | $0 | $2,190-100.0% | $5,144-100.0% | $2,177-100.0% |
| Participant deferral / active EE | $1,105 | $2,471-55.3% | $5,198-78.7% | $3,514-68.6% |
| Admin fee / account holder | $4 | $472-99.2% | $13,955-100.0% | $847-99.5% |