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| Provider | Service type | Compensation |
|---|---|---|
Filed as: KESTRA ADVISORY SERVICES, INC Service code 26 · EIN 35-2552359 1250 CAPITAL OF TEXAS HIGHWAY SOUTH · AUSTIN, TX 78746 | Advisory (Participants) | $25,657 |
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.)
Annual investment return is in the bottom quintile of the peer cohort.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
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 | $46,062 | $63,346-27.3% | $92,240-50.1% | $70,126-34.3% |
| Participation rate | 29.7% | 68.7%-39.0pp | 76.5%-46.8pp | 69.5%-39.9pp |
| Annual return | 10.85% | 530.19%-519.3pp | 176.29%-165.4pp | 73.15%-62.3pp |
| Employer contribution / active EE | $0 | $2,471-100.0% | $3,680-100.0% | $2,343-100.0% |
| Participant deferral / active EE | $1,798 | $2,854-37.0% | $3,897-53.9% | $3,332-46.0% |
| Admin fee / account holder | $480 | $3,841-87.5% | $5,194-90.8% | $4,645-89.7% |