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| Provider | Service type | Compensation |
|---|---|---|
PRINCIPAL LIFE INSURANCE COMPANY4+ years Service code 13 · EIN 42-0127290 | Contract Administrator | $31,148 |
Filed as: KESTRA ADVISORY SERVICES, LLC Service code 27 · EIN 35-2552359 | Advisory (Plan) | $29,888 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
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 | $14,269 | $23,119-38.3% | $71,089-79.9% | $75,289-81.0% |
| Participation rate | 39.5% | 36.3%+3.2pp | 54.6%-15.1pp | 72.4%-32.9pp |
| Annual return | -23.28% | -3.32%-20.0pp | 650.65%-673.9pp | -0.04%-23.2pp |
| Employer contribution / active EE | $228 | $399-42.8% | $1,088-79.0% | $2,405-90.5% |
| Participant deferral / active EE | $821 | $960-14.5% | $1,873-56.1% | $3,739-78.0% |
| Admin fee / account holder | $51 | $89-43.3% | $3,082-98.4% | $102-50.4% |