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| Provider | Service type | Compensation |
|---|---|---|
Filed as: KESTRA ADVISORY SERVICES, LLC Service code 27 · EIN 35-2552359 5707 SW PARKWAY · AUSTIN, TX 78735 | Advisory (Plan) | $10,596 |
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 | $57,529 | $73,638-21.9% | $95,960-40.0% | $73,493-21.7% |
| Participation rate | 32.1% | 76.2%-44.0pp | 77.1%-44.9pp | 70.7%-38.5pp |
| Annual return | 4.93% | 16.78%-11.9pp | 91.63%-86.7pp | 28.51%-23.6pp |
| Employer contribution / active EE | $0 | $1,863-100.0% | $2,541-100.0% | $2,270-100.0% |
| Participant deferral / active EE | $1,931 | $3,617-46.6% | $4,167-53.7% | $3,740-48.4% |
| Admin fee / account holder | $449 | $482-6.8% | $6,797-93.4% | $513-12.5% |