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| Provider | Service type | Compensation |
|---|---|---|
Filed as: KESTRA INVESTMENT SERVICES Service code 71 · EIN 74-2794194 5707 SOUTHWEST PARKWAY · AUSTIN, TX 787353300 | Brokerage Fees | $9,637 |
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match 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 | $7,779 | $49,255-84.2% | $70,494-89.0% | $79,856-90.3% |
| Participation rate | 86.7% | 69.2%+17.6pp | 75.1%+11.7pp | 69.6%+17.1pp |
| Annual return | 14.06% | 30.10%-16.0pp | 109.16%-95.1pp | 31.71%-17.7pp |
| Employer contribution / active EE | $848 | $2,100-59.6% | $2,738-69.0% | $2,471-65.7% |
| Participant deferral / active EE | $1,747 | $2,768-36.9% | $3,711-52.9% | $3,741-53.3% |
| Admin fee / account holder | $81 | $2,879-97.2% | $3,848-97.9% | $5,306-98.5% |