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| Provider | Service type | Compensation |
|---|---|---|
Service code 52 · EIN 04-1590850 | Indirect Investment Fees | $43,623 |
Filed as: KESTRA ADVISORY SERVICES, LLC Service code 16 · EIN 74-2794194 | Consulting | $12,750 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Employer contribution per participant is in the bottom quintile of the peer cohort.
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).
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 | $31,759 | $168,231-81.1% | $67,834-53.2% | $63,975-50.4% |
| Participation rate | 35.3% | 66.8%-31.5pp | 68.8%-33.5pp | 71.1%-35.8pp |
| Annual return | 5.58% | 11.76%-6.2pp | 138.47%-132.9pp | 48.65%-43.1pp |
| Employer contribution / active EE | $180 | $1,907-90.6% | $2,403-92.5% | $2,182-91.8% |
| Participant deferral / active EE | $915 | $2,827-67.6% | $3,160-71.0% | $3,356-72.7% |
| Admin fee / account holder | $66 | $81-18.2% | $4,622-98.6% | $70-6.5% |