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| Provider | Service type | Compensation |
|---|---|---|
Filed as: KESTRA ADVISORY SERVICES Service code 15 · EIN 35-2552359 | Recordkeeping | $22,832 |
ADP BROKER-DEALER2 years Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $9,129 |
ADP BROKER-DEALER7+ years Service code 59 · EIN 22-3319984 | Shareholder Servicing | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Administrative expenses exceed $300 per participant per year - possible fee-review opportunity. (Recordkeeping / audit / legal; excludes investment management.)
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 | $165,790 | $105,200+57.6% | $159,474+4.0% | $85,847+93.1% |
| Participation rate | 57.1% | 75.8%-18.6pp | 82.8%-25.7pp | 69.3%-12.2pp |
| Annual return | 19.26% | 45.08%-25.8pp | 263.68%-244.4pp | 318.61%-299.3pp |
| Employer contribution / active EE | $0 | $3,319-100.0% | $4,831-100.0% | $2,565-100.0% |
| Participant deferral / active EE | $8,099 | $5,946+36.2% | $7,353+10.1% | $3,952+104.9% |
| Admin fee / account holder | $444 | $6,934-93.6% | $10,802-95.9% | $6,261-92.9% |